Jack Phinney No Comments

10-12-2018 Convergence Daily ADV Filing Changes

10-12-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
         9 – New Private Funds Disclosed
        23 – Headcount Changes
        23 – C-Suite Appointments
         7 – Regulators and Violations
         9 – New Fund Auditor Appointments
         9 – New Fund Administrator Appointments
        16 – Change in Assets
         1 – Administrator Changes
         3 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
        88 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
         1 – New Fund Prime Broker Appointments
         3 – 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

10-11-2018 Convergence Daily ADV Filing Changes

10-11-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         4 – New Private Funds Disclosed
        18 – Headcount Changes
        28 – C-Suite Appointments
         2 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
         9 – Change in Assets
         1 – Administrator Changes
         1 – Custodian Changes
         3 – Beneficial Ownership
       116 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
        55 – SEC-Inactive Advisors
       122 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         5 – 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

10-09-2018 Convergence Daily ADV Filing Changes

10-09-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        18 – Headcount Changes
        14 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        21 – Change in Assets
         3 – Auditor Changes
         1 – Custodian Changes
        10 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
        57 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
         4 – New Fund Custodian Appointments
         3 – 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

10-10-2018 Convergence Daily ADV Filing Changes

10-10-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        23 – Headcount Changes
        13 – C-Suite Appointments
         5 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        23 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         4 – Custodian Changes
         5 – 3rd-Party Marketer Changes
         4 – Beneficial Ownership
        88 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        34 – Changes in RIC and BDC
        12 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        13 – 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

10-08-2018 Convergence Daily ADV Filing Changes

10-08-2018 Convergence Daily ADV Filing Changes

        11 – New SEC-Registered Investment Advisors
        21 – New Private Funds Disclosed
         5 – Headcount Changes
        20 – C-Suite Appointments
         3 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
         5 – Change in Assets
         2 – Administrator Changes
        85 – ScheduleAB Changes
        17 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
         4 – New Fund Custodian Appointments
        16 – 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

10-05-2018 Convergence Daily ADV Filing Changes

10-05-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         5 – New Private Funds Disclosed
        16 – Headcount Changes
        13 – C-Suite Appointments
        16 – Regulators and Violations
         3 – New Fund Auditor Appointments
         3 – New Fund Administrator Appointments
         9 – Change in Assets
         3 – Custodian Changes
         3 – Prime Broker Changes
         1 – Beneficial Ownership
        86 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        18 – Changes in RIC and BDC
         1 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
         6 – 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

10-04-2018 Convergence Daily ADV Filing Changes

10-04-2018 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        29 – Headcount Changes
        16 – C-Suite Appointments
         2 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        20 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         4 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       107 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
        13 – SEC-Dropped Funds
        12 – Changes in RIC and BDC
         8 – 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

10-03-2018 Convergence Daily ADV Filing Changes

10-03-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        26 – Headcount Changes
        22 – C-Suite Appointments
         4 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        12 – Change in Assets
        63 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
         8 – Changes in RIC and BDC
         3 – 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

10-02-2018 Convergence Daily ADV Filing Changes

10-02-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        42 – Headcount Changes
        58 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        30 – Change in Assets
         4 – Administrator Changes
         4 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         9 – Beneficial Ownership
       155 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        19 – SEC-Dropped Funds
        25 – Changes in RIC and BDC
         4 – Changes in Public Funds
        44 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – 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

10-01-2018 Convergence Daily ADV Filing Changes

10-01-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        82 – New Private Funds Disclosed
       142 – Headcount Changes
        87 – C-Suite Appointments
        32 – Regulators and Violations
        70 – New Fund Auditor Appointments
        70 – New Fund Administrator Appointments
       131 – Change in Assets
        14 – Administrator Changes
        14 – Auditor Changes
        31 – Custodian Changes
        12 – Prime Broker Changes
        10 – 3rd-Party Marketer Changes
       112 – Beneficial Ownership
       418 – ScheduleAB Changes
        13 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
        83 – SEC-Dropped Funds
        87 – Changes in RIC and BDC
        59 – Changes in Public Funds
        73 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Prime Broker Appointments
        49 – New Fund Custodian Appointments
        21 – 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.