Jack Phinney No Comments

12-14-2018 Convergence Daily ADV Filing Changes

12-14-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        20 – Headcount Changes
        11 – C-Suite Appointments
        12 – Regulators and Violations
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
        22 – Change in Assets
         6 – Administrator Changes
         4 – Auditor Changes
        10 – Custodian Changes
         2 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       110 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
         7 – SEC-Dropped Funds
        12 – Changes in RIC and BDC
         2 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        11 – New Fund Custodian Appointments
         2 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-13-2018 Convergence Daily ADV Filing Changes

12-13-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
        46 – New Private Funds Disclosed
        25 – Headcount Changes
        14 – C-Suite Appointments
         4 – Regulators and Violations
        46 – New Fund Auditor Appointments
        46 – New Fund Administrator Appointments
        21 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         6 – Custodian Changes
         9 – Prime Broker Changes
         4 – Beneficial Ownership
        50 – ScheduleAB Changes
         7 – SEC-Inactive Advisors
        18 – SEC-Dropped Funds
         9 – Changes in RIC and BDC
         1 – Changes in Public Funds
        11 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
         5 – New Fund Custodian Appointments
         6 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-12-2018 Convergence Daily ADV Filing Changes

12-12-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        29 – Headcount Changes
        15 – C-Suite Appointments
         7 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        22 – Change in Assets
         2 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
        78 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds
        34 – Changes in RIC and BDC
         3 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Custodian Appointments
         4 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-11-2018 Convergence Daily ADV Filing Changes

12-11-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        21 – New Private Funds Disclosed
        18 – Headcount Changes
        16 – C-Suite Appointments
        18 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        19 – Change in Assets
         1 – Administrator Changes
         3 – Auditor Changes
         1 – Custodian Changes
         6 – 3rd-Party Marketer Changes
        85 – ScheduleAB Changes
         6 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        29 – Changes in RIC and BDC
         1 – Changes in Public Funds
         1 – New Fund Prime Broker Appointments
        13 – New Fund Custodian Appointments
        13 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-10-2018 Convergence Daily ADV Filing Changes

12-10-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        16 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        11 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
       100 – ScheduleAB Changes
         6 – SEC-Inactive Advisors
         4 – SEC-Dropped Funds
        14 – Changes in RIC and BDC
         3 – Changes in Public Funds
         2 – New Fund Prime Broker Appointments
         3 – New Fund Custodian Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-07-2018 Convergence Daily ADV Filing Changes

12-07-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        15 – Headcount Changes
        20 – C-Suite Appointments
         1 – Regulators and Violations
         3 – New Fund Auditor Appointments
         3 – New Fund Administrator Appointments
        14 – Change in Assets
         4 – Custodian Changes
         4 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       146 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds
        37 – Changes in RIC and BDC
         1 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         7 – New Fund Prime Broker Appointments
        12 – New Fund Custodian Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-06-2018 Convergence Daily ADV Filing Changes

12-06-2018 Convergence Daily ADV Filing Changes

        19 – Headcount Changes
        18 – C-Suite Appointments
         1 – Regulators and Violations
         6 – Change in Assets
         1 – Custodian Changes
        43 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-05-2018 Convergence Daily ADV Filing Changes

12-05-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         1 – New Private Funds Disclosed
        14 – Headcount Changes
        17 – C-Suite Appointments
         7 – Regulators and Violations
         1 – New Fund Auditor Appointments
         1 – New Fund Administrator Appointments
         7 – Change in Assets
         1 – Custodian Changes
         7 – Beneficial Ownership
        92 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Custodian Appointments
         1 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-04-2018 Convergence Daily ADV Filing Changes

12-04-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        12 – Headcount Changes
        23 – C-Suite Appointments
         9 – Regulators and Violations
        23 – New Fund Auditor Appointments
        23 – New Fund Administrator Appointments
         6 – Change in Assets
         1 – Custodian Changes
         1 – 3rd-Party Marketer Changes
        82 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
        11 – SEC-Inactive Advisors
        16 – SEC-Dropped Funds
        40 – Changes in RIC and BDC
         4 – Changes in Public Funds
        14 – Prime Broker, Custodian, and Marketer Fund Level Changes
        17 – New Fund Custodian Appointments
         5 – New Fund 3rd-Party Marketer Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Jack Phinney No Comments

12-03-2018 Convergence Daily ADV Filing Changes

12-03-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        24 – Headcount Changes
        29 – C-Suite Appointments
         1 – Regulators and Violations
        16 – New Fund Auditor Appointments
        16 – New Fund Administrator Appointments
        23 – Change in Assets
         2 – Administrator Changes
         4 – Auditor Changes
         5 – Custodian Changes
         2 – Prime Broker Changes
         3 – Beneficial Ownership
        93 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds
        28 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
         8 – New Fund Custodian Appointments

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.