Convergence No Comments

07-19-2018 Convergence Daily ADV Filing Changes

07-19-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        13 – Headcount Changes
        28 – C-Suite Appointments
         2 – Regulators and Violations
         4 – New Fund Auditor Appointments
         4 – New Fund Administrator Appointments
        17 – Change in Assets
         3 – Administrator Changes
         1 – Auditor Changes
         3 – Custodian Changes
         3 – Prime Broker Changes
         3 – Beneficial Ownership
        75 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds
        15 – Changes in RIC and BDC
         1 – Changes in Public Funds
         3 – New Fund Prime Broker Appointments
         5 – 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.

Convergence No Comments

07-18-2018 Convergence Daily ADV Filing Changes

07-18-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
         8 – New Private Funds Disclosed
        16 – Headcount Changes
        30 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        13 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         2 – Beneficial Ownership
       179 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        36 – Changes in RIC and BDC
         2 – Changes in Public Funds
         4 – 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.

Convergence No Comments

07-17-2018 Convergence Daily ADV Filing Changes

07-17-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        24 – Headcount Changes
        13 – C-Suite Appointments
         3 – Regulators and Violations
         9 – New Fund Auditor Appointments
         9 – New Fund Administrator Appointments
        23 – Change in Assets
         2 – Auditor Changes
         2 – Custodian Changes
         1 – Beneficial Ownership
        83 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
        11 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
         8 – 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.

Convergence No Comments

07-16-2018 Convergence Daily ADV Filing Changes

07-16-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        22 – New Private Funds Disclosed
        31 – Headcount Changes
        17 – C-Suite Appointments
         2 – Regulators and Violations
        22 – New Fund Auditor Appointments
        22 – New Fund Administrator Appointments
        18 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
       104 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
        50 – Changes in RIC and BDC
         8 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        18 – 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.

Convergence No Comments

Convergence Insight #26 – SGG Group Acquires Augentius Fund Administration

On July 13th, 2018 SGG Group (SGG) announced the Acquisition of Augentius Fund Administration (Augentius). Convergence created a “pro-forma” view of the Private Assets and Funds of the combined firm. The newly combined firm has fund administration relationships with 271 private funds with $49.16bn in Private Fund Assets.

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Convergence No Comments

07-12-2018 Convergence Daily ADV Filing Changes

07-12-2018 Convergence Daily ADV Filing Changes

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

Convergence No Comments

07-11-2018 Convergence Daily ADV Filing Changes

07-11-2018 Convergence Daily ADV Filing Changes

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

Convergence No Comments

07-10-2018 Convergence Daily ADV Filing Changes

07-10-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        20 – Headcount Changes
        29 – C-Suite Appointments
         1 – Regulators and Violations
        10 – New Fund Auditor Appointments
        10 – New Fund Administrator Appointments
        15 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         2 – Custodian Changes
         1 – Prime Broker Changes
         1 – Beneficial Ownership
       132 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds
        38 – Changes in RIC and BDC
         2 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         7 – 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.

Convergence No Comments

07-09-2018 Convergence Daily ADV Filing Changes

06-29-2018 Convergence Daily ADV Filing Changes

        18 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        20 – Headcount Changes
        34 – C-Suite Appointments
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        17 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         4 – Beneficial Ownership
       150 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds
        80 – Changes in RIC and BDC
         2 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
        31 – 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.

Convergence No Comments

06-29-2018 Convergence Daily ADV Filing Changes

06-29-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
       130 – New Private Funds Disclosed
       115 – Headcount Changes
        47 – C-Suite Appointments
        41 – Regulators and Violations
       122 – New Fund Auditor Appointments
       122 – New Fund Administrator Appointments
       121 – Change in Assets
        22 – Administrator Changes
        15 – Auditor Changes
        21 – Custodian Changes
        11 – Prime Broker Changes
        20 – 3rd-Party Marketer Changes
        47 – Beneficial Ownership
       225 – ScheduleAB Changes
        81 – SEC Admin and Auditor Fund Changes
        12 – SEC-Inactive Advisors
        91 – SEC-Dropped Funds
       121 – Changes in RIC and BDC
        70 – Changes in Public Funds
        41 – Prime Broker, Custodian, and Marketer Fund Level Changes
         9 – New Fund Prime Broker Appointments
        97 – New Fund Custodian Appointments
        48 – 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.