Gabby Riggione 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.

Gabby Riggione 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.

Gabby Riggione 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.

Gabby Riggione 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.

Gabby Riggione 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.

Gabby Riggione No Comments

02-07-2018 Convergence Daily ADV Filing Changes

02-07-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        39 – New Private Funds Disclosed
        45 – Headcount Changes
         7 – C-Suite Appointments
         1 – Regulators and Violations
        39 – New Fund Auditor Appointments
        39 – New Fund Administrator Appointments
        66 – Change in Assets
         3 – Administrator Changes
         1 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         5 – Beneficial Ownership
        88 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        10 – 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.

Gabby Riggione No Comments

02-06-2018 Convergence Daily ADV Filing Changes

02-06-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        17 – New Private Funds Disclosed
        39 – Headcount Changes
         4 – C-Suite Appointments
        17 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        57 – Change in Assets
         2 – Administrator Changes
         8 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       187 – ScheduleAB Changes
        18 – SEC Admin and Auditor Fund Changes
         3 – 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.

Gabby Riggione No Comments

02-04-2018 Convergence Daily ADV Filing Changes

02-04-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        13 – New Private Funds Disclosed
        57 – Headcount Changes
        23 – C-Suite Appointments
         7 – Regulators and Violations
        13 – New Fund Auditor Appointments
        13 – New Fund Administrator Appointments
        61 – Change in Assets
         4 – Administrator Changes
         6 – Auditor Changes
         4 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         6 – Beneficial Ownership
       172 – ScheduleAB Changes
         9 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
        12 – 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.

Gabby Riggione No Comments

02-02-2018 Convergence Daily ADV Filing Changes

02-02-2018 Convergence Daily ADV Filing Changes

        12 – New SEC-Registered Investment Advisors
        51 – New Private Funds Disclosed
        69 – Headcount Changes
        15 – C-Suite Appointments
         7 – Regulators and Violations
        50 – New Fund Auditor Appointments
        50 – New Fund Administrator Appointments
        88 – Change in Assets
         6 – Administrator Changes
         3 – Auditor Changes
        18 – Custodian Changes
         8 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        15 – Beneficial Ownership
       220 – ScheduleAB Changes
        18 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        18 – 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.

Gabby Riggione No Comments

02-01-2018 Convergence Daily ADV Filing Changes

02-01-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        91 – Headcount Changes
        24 – C-Suite Appointments
         8 – Regulators and Violations
        16 – New Fund Auditor Appointments
        16 – New Fund Administrator Appointments
       103 – Change in Assets
         9 – Administrator Changes
        11 – Auditor Changes
        16 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         9 – Beneficial Ownership
       226 – ScheduleAB Changes
        25 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        58 – 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.