Gabby Riggione No Comments

12-10-2017 Convergence Daily ADV Filing Changes

12-10-2017 Convergence Daily ADV Filing Changes

        11 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        25 – Headcount Changes
        15 – C-Suite Appointments
         1 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        30 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         3 – Custodian Changes
         2 – Prime Broker Changes
       160 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         4 – 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

12-08-2017 Convergence Daily ADV Filing Changes

12-08-2017 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        29 – Headcount Changes
        16 – C-Suite Appointments
         1 – Regulators and Violations
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
        20 – Change in Assets
         1 – Auditor Changes
         7 – Custodian Changes
         1 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
         4 – Beneficial Ownership
       121 – ScheduleAB Changes
         6 – 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.

Gabby Riggione No Comments

12-07-2017 Convergence Daily ADV Filing Changes

12-07-2017 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
        15 – Headcount Changes
         8 – C-Suite Appointments
         2 – Regulators and Violations
        13 – Change in Assets
         1 – Beneficial Ownership
        45 – ScheduleAB Changes
         5 – 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

12-06-2017 Convergence Daily ADV Filing Changes

12-06-2017 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
        13 – New Private Funds Disclosed
        29 – Headcount Changes
        17 – C-Suite Appointments
         3 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        26 – Change in Assets
         3 – Administrator Changes
        12 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         4 – Beneficial Ownership
       177 – ScheduleAB Changes
        11 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         2 – 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

12-05-2017 Convergence Daily ADV Filing Changes

12-05-2017 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        20 – Headcount Changes
         7 – C-Suite Appointments
         1 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        14 – Change in Assets
         4 – Auditor Changes
         2 – Custodian Changes
         2 – Beneficial Ownership
       102 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        16 – 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

12-03-2017 Convergence Daily ADV Filing Changes

12-03-2017 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        28 – Headcount Changes
         7 – C-Suite Appointments
         4 – Regulators and Violations
         4 – New Fund Auditor Appointments
         4 – New Fund Administrator Appointments
        20 – Change in Assets
         1 – Auditor Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
        75 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors

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

12-01-2017 Convergence Daily ADV Filing Changes

12-01-2017 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        17 – New Private Funds Disclosed
        61 – Headcount Changes
         9 – C-Suite Appointments
         1 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        29 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       163 – ScheduleAB Changes
        53 – SEC Admin and Auditor Fund Changes
         9 – 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

11-30-2017 Convergence Daily ADV Filing Changes

11-30-2017 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        26 – Headcount Changes
         9 – C-Suite Appointments
        12 – Regulators and Violations
        16 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        43 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         3 – Custodian Changes
         2 – Prime Broker Changes
         2 – Beneficial Ownership
       130 – ScheduleAB Changes
         8 – SEC Admin and Auditor Fund Changes
        10 – 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

11-29-2017 Convergence Daily ADV Filing Changes

11-29-2017 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        32 – Headcount Changes
         9 – C-Suite Appointments
         4 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        34 – Change in Assets
         1 – Administrator Changes
         3 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        17 – Beneficial Ownership
        83 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         4 – 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

11-28-2017 Convergence Daily ADV Filing Changes

11-28-2017 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         5 – New Private Funds Disclosed
        14 – Headcount Changes
         8 – C-Suite Appointments
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        16 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
        73 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         4 – 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.