Jack Phinney No Comments

02-22-2018 Convergence Daily ADV Filing Changes

02-22-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        81 – Headcount Changes
        15 – C-Suite Appointments
         2 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        88 – Change in Assets
         2 – Administrator Changes
         4 – Auditor Changes
         2 – Custodian Changes
         1 – Prime Broker Changes
        37 – Beneficial Ownership
        90 – ScheduleAB Changes
         9 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        25 – SEC-Dropped Funds

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

02-21-2018 Convergence Daily ADV Filing Changes

02-21-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        41 – Headcount Changes
         6 – C-Suite Appointments
         9 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        71 – Change in Assets
         4 – Administrator Changes
         5 – Auditor Changes
         7 – Custodian Changes
         3 – Prime Broker Changes
         8 – Beneficial Ownership
        82 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         4 – SEC-Dropped Funds

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

02-20-2018 Convergence Daily ADV Filing Changes

02-20-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
         8 – Headcount Changes
         3 – C-Suite Appointments
         1 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        30 – Change in Assets
         2 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
        17 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds

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

02-18-2018 Convergence Daily ADV Filing Changes

02-18-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        30 – New Private Funds Disclosed
        85 – Headcount Changes
        30 – C-Suite Appointments
         6 – Regulators and Violations
        30 – New Fund Auditor Appointments
        33 – New Fund Administrator Appointments
       106 – Change in Assets
         9 – Administrator Changes
        11 – Auditor Changes
         8 – Custodian Changes
         3 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        21 – Beneficial Ownership
       167 – ScheduleAB Changes
         6 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
        30 – SEC-Dropped Funds

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

02-16-2018 Convergence Daily ADV Filing Changes

02-16-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        76 – New Private Funds Disclosed
        65 – Headcount Changes
        11 – C-Suite Appointments
        15 – Regulators and Violations
        68 – New Fund Auditor Appointments
        69 – New Fund Administrator Appointments
        89 – Change in Assets
         6 – Administrator Changes
         3 – Auditor Changes
         8 – Custodian Changes
         5 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       217 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        62 – SEC-Dropped Funds

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

02-15-2018 Convergence Daily ADV Filing Changes

02-15-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        67 – Headcount Changes
        18 – C-Suite Appointments
        11 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        70 – Change in Assets
         4 – Administrator Changes
         9 – Auditor Changes
        12 – Custodian Changes
         1 – Prime Broker Changes
         6 – 3rd-Party Marketer Changes
         6 – Beneficial Ownership
       211 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds

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

02-14-2018 Convergence Daily ADV Filing Changes

02-14-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        67 – Headcount Changes
         5 – C-Suite Appointments
         9 – Regulators and Violations
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
        87 – Change in Assets
         1 – Administrator Changes
         5 – Auditor Changes
         8 – Custodian Changes
         4 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         9 – Beneficial Ownership
       156 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds

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

02-13-2018 Convergence Daily ADV Filing Changes

02-13-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        47 – Headcount Changes
         7 – C-Suite Appointments
         4 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        63 – Change in Assets
         2 – Administrator Changes
         6 – Auditor Changes
         6 – Custodian Changes
         2 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
        11 – Beneficial Ownership
        98 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds

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

02-11-2018 Convergence Daily ADV Filing Changes

02-11-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        17 – New Private Funds Disclosed
        63 – Headcount Changes
        11 – C-Suite Appointments
        10 – Regulators and Violations
        16 – New Fund Auditor Appointments
        16 – New Fund Administrator Appointments
        83 – Change in Assets
         2 – Administrator Changes
        11 – Auditor Changes
         2 – Custodian Changes
         2 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        11 – Beneficial Ownership
       121 – ScheduleAB Changes
        19 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds

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

02-09-2018 Convergence Daily ADV Filing Changes

02-09-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        13 – New Private Funds Disclosed
        51 – Headcount Changes
        12 – C-Suite Appointments
         6 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        76 – Change in Assets
         4 – Administrator Changes
         1 – Auditor Changes
         7 – Custodian Changes
         4 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        11 – Beneficial Ownership
       152 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
         7 – SEC-Dropped Funds

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.