Jack Phinney No Comments

04-19-2018 Convergence Daily ADV Filing Changes

04-19-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        52 – New Private Funds Disclosed
        18 – Headcount Changes
        10 – C-Suite Appointments
         3 – Regulators and Violations
        52 – New Fund Auditor Appointments
        52 – New Fund Administrator Appointments
        25 – Change in Assets
         6 – Auditor Changes
         2 – Custodian Changes
         4 – Beneficial Ownership
        92 – ScheduleAB Changes
        11 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         1 – 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

04-18-2018 Convergence Daily ADV Filing Changes

04-18-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         3 – New Private Funds Disclosed
        18 – Headcount Changes
         5 – C-Suite Appointments
         1 – Regulators and Violations
         3 – New Fund Auditor Appointments
         3 – New Fund Administrator Appointments
        13 – Change in Assets
         1 – Custodian Changes
         1 – Beneficial Ownership
        70 – ScheduleAB Changes
         2 – 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

04-17-2018 Convergence Daily ADV Filing Changes

04-17-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        13 – Headcount Changes
         6 – C-Suite Appointments
         3 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        14 – Change in Assets
         2 – Administrator Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
        93 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         1 – 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

04-15-2018 Convergence Daily ADV Filing Changes

04-15-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        22 – New Private Funds Disclosed
        26 – Headcount Changes
         8 – C-Suite Appointments
        14 – Regulators and Violations
        22 – New Fund Auditor Appointments
        22 – New Fund Administrator Appointments
        33 – Change in Assets
         7 – Administrator Changes
         3 – Auditor Changes
         6 – Custodian Changes
         1 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         6 – Beneficial Ownership
        94 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         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

04-12-2018 Convergence Daily ADV Filing Changes

04-12-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        18 – Headcount Changes
         7 – C-Suite Appointments
         3 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        15 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
        76 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         1 – 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

04-11-2018 Convergence Daily ADV Filing Changes

04-11-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        18 – Headcount Changes
         7 – C-Suite Appointments
         3 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        15 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
        76 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         1 – 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

04-10-2018 Convergence Daily ADV Filing Changes

04-10-2018 Convergence Daily ADV Filing Changes

        15 – New SEC-Registered Investment Advisors
        95 – New Private Funds Disclosed
        21 – Headcount Changes
        10 – C-Suite Appointments
         1 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        28 – Change in Assets
         3 – Administrator Changes
         5 – Auditor Changes
         4 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        95 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
        13 – SEC-Inactive Advisors
        29 – 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.