Gabby Riggione No Comments

04-28-2017 Convergence Daily ADV Filing Changes

04-28-2017 Convergence Daily ADV Filing Changes

6 New SEC-Registered Investment Advisors
8 New Private Funds
1 New Sub-Advised Funds
15 #RIA #Headcount Changes
15 C-Suite Updates
8 #Regulatory Authority Reporting Changes
8 #Auditor Appointments for New #Funds
8 #Administrator Appointments for New #Funds
35 Changes to #RAUM
2 Administrative Services Provider Changes
3 #Auditor Services Provider Changes
2 #Custodial Services Provider Changes
2 #PrimeBrokerage Service Provider Changes
7 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-27-2017 Convergence Daily ADV Filing Changes

04-27-2017 Convergence Daily ADV Filing Changes

4 New SEC-Registered Investment Advisors
23 New Private Funds
1 New Sub-Advised Funds
14 #RIA #Headcount Changes
11 C-Suite Updates
23 #Auditor Appointments for New #Funds
23 #Administrator Appointments for New #Funds
29 Changes to #RAUM
3 Administrative Services Provider Changes
8 #Auditor Services Provider Changes
6 #Custodial Services Provider Changes
1 #PrimeBrokerage Service Provider Changes
1 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-26-2017 Convergence Daily ADV Filing Changes

04-26-2017 Convergence Daily ADV Filing Changes

4 New SEC-Registered Investment Advisors
9 New Private Funds
24 #RIA #Headcount Changes
13 C-Suite Updates
9 #Auditor Appointments for New #Funds
9 #Administrator Appointments for New #Funds
13 Changes to #RAUM
1 Administrative Services Provider Changes
2 #Custodial Services Provider Changes
3 #PrimeBrokerage Service Provider 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.

Gabby Riggione No Comments

04-25-2017 Convergence Daily ADV Filing Changes

04-25-2017 Convergence Daily ADV Filing Changes

7 New SEC-Registered Investment Advisors
4 New Private Funds
14 #RIA #Headcount Changes
4 #Auditor Appointments for New #Funds
4 #Administrator Appointments for New #Funds
27 Changes to #RAUM
2 Administrative Services Provider Changes
3 #Auditor Services Provider Changes
3 #Custodial Services Provider Changes
1 #PrimeBrokerage Service Provider Changes
1 New Civil, Criminal, and Regulatory #Violations

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.

Gabby Riggione No Comments

04-23-2017 Convergence Daily ADV Filing Changes

04-23-2017 Convergence Daily ADV Filing Changes

25 New SEC-Registered Investment Advisors
18 New Private Funds
3 New Sub-Advised Funds
28 #RIA #Headcount Changes
17 C-Suite Updates
3 #Regulatory Authority Reporting Changes
18 #Auditor Appointments for New #Funds
18 #Administrator Appointments for New #Funds
20 Changes to #RAUM
1 Administrative Services Provider Changes
1 #Auditor Services Provider Changes
6 #Custodial Services Provider Changes
1 #PrimeBrokerage Service Provider Changes
1 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-21-2017 Convergence Daily ADV Filing Changes

04-21-2017 Convergence Daily ADV Filing Changes

6 New SEC-Registered Investment Advisors
25 New Private Funds
1 New Sub-Advised Funds
27 #RIA #Headcount Changes
8 C-Suite Updates
30 #Regulatory Authority Reporting Changes
25 #Auditor Appointments for New #Funds
25 #Administrator Appointments for New #Funds
28 Changes to #RAUM
1 Administrative Services Provider Changes
2 #Auditor Services Provider Changes
1 #Custodial Services Provider Changes
2 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-20-2017 Convergence Daily ADV Filing Changes

04-20-2017 Convergence Daily ADV Filing Changes

8 New SEC-Registered Investment Advisors
17 New Private Funds
25 #RIA #Headcount Changes
9 C-Suite Updates
6 #Regulatory Authority Reporting Changes
17 #Auditor Appointments for New #Funds
17 #Administrator Appointments for New #Funds
22 Changes to #RAUM
1 #Custodial Services Provider Changes
1 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-19-2017 Convergence Daily ADV Filing Changes

04-19-2017 Convergence Daily ADV Filing Changes

6 New SEC-Registered Investment Advisors
9 New Private Funds
20 #RIA #Headcount Changes
3 C-Suite Updates
9 #Auditor Appointments for New #Funds
9 #Administrator Appointments for New #Funds
24 Changes to #RAUM
4 Administrative Services Provider Changes
3 #Auditor Services Provider Changes
5 #Custodial Services Provider Changes
5 #PrimeBrokerage Service Provider Changes
1 #Marketing Services Provider 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.

Gabby Riggione No Comments

04-18-2017 Convergence Daily ADV Filing Changes

04-18-2017 Convergence Daily ADV Filing Changes

11 New SEC-Registered Investment Advisors
7 New Private Funds
18 #RIA #Headcount Changes
6 C-Suite Updates
7 #Auditor Appointments for New #Funds
7 #Administrator Appointments for New #Funds
11 Changes to #RAUM
1 #Custodial Services Provider Changes
1 #PrimeBrokerage Service Provider 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.

Gabby Riggione No Comments

04-16-2017 Convergence Daily ADV Filing Changes

04-16-2017 Convergence Daily ADV Filing Changes

10 New SEC-Registered Investment Advisors
5 New Private Funds
4 #RIA #Headcount Changes
1 #Regulatory Authority Reporting Changes
5 #Auditor Appointments for New #Funds
5 #Administrator Appointments for New #Funds
5 Changes to #RAUM
1 New Civil, Criminal, and Regulatory #Violations

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.