Jack Phinney No Comments

05-15-2018 Convergence Daily ADV Filing Changes

05-15-2018 Convergence Daily ADV Filing Changes

        14 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        15 – Headcount Changes
        11 – C-Suite Appointments
         1 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        32 – Change in Assets
         3 – Administrator Changes
         7 – Custodian Changes
         5 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        83 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
        21 – SEC-Dropped Funds
        84 – Changes in RIC and BDC
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – 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.

Jack Phinney No Comments

05-14-2018 Convergence Daily ADV Filing Changes

05-14-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
         7 – Headcount Changes
        26 – C-Suite Appointments
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        13 – Change in Assets
         2 – Administrator Changes
         4 – Custodian Changes
         1 – Beneficial Ownership
       116 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
         4 – SEC-Dropped Funds
        38 – Changes in RIC and BDC
         8 – Changes in Public Funds
        10 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         4 – 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.

Jack Phinney No Comments

05-11-2018 Convergence Daily ADV Filing Changes

05-11-2018 Convergence Daily ADV Filing Changes

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

Jack Phinney No Comments

05-10-2018 Convergence Daily ADV Filing Changes

05-10-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        13 – Headcount Changes
        18 – C-Suite Appointments
         1 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        25 – Change in Assets
         2 – Auditor Changes
         2 – Beneficial Ownership
        66 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
        11 – Changes in Public Funds
         3 – New Fund Custodian Appointments
         2 – 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.

Jack Phinney No Comments

05-09-2018 Convergence Daily ADV Filing Changes

05-09-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        19 – Headcount Changes
        12 – C-Suite Appointments
         2 – Regulators and Violations
        17 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        21 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         2 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
       110 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         9 – SEC-Dropped Funds
        45 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
        10 – New Fund Custodian Appointments
         2 – 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.

Jack Phinney No Comments

04-29-2018 Convergence Daily ADV Filing Changes

04-29-2018 Convergence Daily ADV Filing Changes

        23 – New SEC-Registered Investment Advisors
        61 – New Private Funds Disclosed
        43 – Headcount Changes
        36 – C-Suite Appointments
        13 – Regulators and Violations
        45 – New Fund Auditor Appointments
        45 – New Fund Administrator Appointments
        66 – Change in Assets
         5 – Administrator Changes
         2 – Auditor Changes
        10 – Custodian Changes
         4 – Prime Broker Changes
        10 – 3rd-Party Marketer Changes
        14 – Beneficial Ownership
       280 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
       123 – Changes in RIC and BDC
         2 – Changes in Public Funds
        16 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Prime Broker Appointments
        50 – New Fund Custodian Appointments
        16 – 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.

Jack Phinney No Comments

04-27-2018 Convergence Daily ADV Filing Changes

04-27-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
        18 – Headcount Changes
         8 – C-Suite Appointments
        17 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        28 – Change in Assets
         2 – Administrator Changes
         2 – Beneficial Ownership
        75 – ScheduleAB Changes
        10 – SEC-Dropped Funds
        46 – Changes in RIC and BDC
         4 – Changes in Public Funds
        12 – New Fund Prime Broker Appointments
        31 – 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.

Jack Phinney No Comments

04-25-2018 Convergence Daily ADV Filing Changes

04-25-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        13 – New Private Funds Disclosed
        21 – Headcount Changes
        16 – C-Suite Appointments
         1 – Regulators and Violations
        13 – New Fund Auditor Appointments
        13 – New Fund Administrator Appointments
        29 – Change in Assets
         1 – Administrator Changes
         2 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
        80 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        36 – Changes in RIC and BDC
         2 – Changes in Public Funds
         2 – New Fund Prime Broker Appointments
        13 – New Fund Custodian Appointments
         5 – 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.

Jack Phinney No Comments

04-24-2018 Convergence Daily ADV Filing Changes

04-24-2018 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        28 – Headcount Changes
         5 – C-Suite Appointments
        13 – New Fund Auditor Appointments
        13 – New Fund Administrator Appointments
        29 – Change in Assets
         1 – Custodian Changes
         3 – Beneficial Ownership
       142 – ScheduleAB 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.

Jack Phinney No Comments

04-22-2018 Convergence Daily ADV Filing Changes

04-22-2018 Convergence Daily ADV Filing Changes

        15 – New SEC-Registered Investment Advisors
         8 – New Private Funds Disclosed
        18 – Headcount Changes
         8 – C-Suite Appointments
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
         9 – Change in Assets
         1 – Custodian Changes
         3 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       125 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund 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.