Jack Phinney No Comments

08-16-2018 Convergence Daily ADV Filing Changes

08-16-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        14 – Headcount Changes
        20 – C-Suite Appointments
         2 – Regulators and Violations
        12 – New Fund Auditor Appointments
        12 – New Fund Administrator Appointments
         6 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         2 – 3rd-Party Marketer Changes
        64 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        11 – New Fund Custodian Appointments
        29 – 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

08-15-2018 Convergence Daily ADV Filing Changes

08-15-2018 Convergence Daily ADV Filing Changes

         9 – New Private Funds Disclosed
        20 – Headcount Changes
        23 – C-Suite Appointments
         2 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
         7 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         7 – Custodian Changes
         4 – Prime Broker Changes
        47 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
         2 – Changes in Public Funds
         4 – New Fund Prime Broker Appointments
         8 – 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

08-14-2018 Convergence Daily ADV Filing Changes

08-14-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        20 – Headcount Changes
        20 – C-Suite Appointments
         3 – Regulators and Violations
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
        13 – Change in Assets
         1 – Beneficial Ownership
        92 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
        42 – Changes in RIC and BDC
         5 – 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.

Jack Phinney No Comments

08-13-2018 Convergence Daily ADV Filing Changes

08-13-2018 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        24 – New Private Funds Disclosed
        15 – Headcount Changes
        17 – C-Suite Appointments
         1 – Regulators and Violations
        36 – New Fund Auditor Appointments
        36 – New Fund Administrator Appointments
        21 – Change in Assets
         3 – Administrator Changes
         4 – Auditor Changes
         5 – Custodian Changes
        12 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
        94 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
        56 – Changes in RIC and BDC
         3 – Changes in Public Funds
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        41 – New Fund Custodian Appointments
        37 – 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

08-09-2018 Convergence Daily ADV Filing Changes

08-09-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        18 – Headcount Changes
        29 – C-Suite Appointments
         7 – Regulators and Violations
         9 – New Fund Auditor Appointments
         9 – New Fund Administrator Appointments
        16 – Change in Assets
         1 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         1 – Beneficial Ownership
       104 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
         9 – 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

08-08-2018 Convergence Daily ADV Filing Changes

08-08-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        45 – New Private Funds Disclosed
        15 – Headcount Changes
        18 – C-Suite Appointments
         4 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        11 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         1 – 3rd-Party Marketer Changes
       130 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
        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

08-07-2018 Convergence Daily ADV Filing Changes

08-07-2018 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        23 – Headcount Changes
        28 – C-Suite Appointments
         3 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        17 – Change in Assets
         2 – Custodian Changes
         1 – Beneficial Ownership
        88 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        22 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         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.

Jack Phinney No Comments

08-06-2018 Convergence Daily ADV Filing Changes

08-06-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
         9 – Headcount Changes
        24 – C-Suite Appointments
         1 – Regulators and Violations
        19 – New Fund Auditor Appointments
        19 – New Fund Administrator Appointments
        17 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         4 – Custodian Changes
         3 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
        62 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
        97 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – New Fund Prime Broker Appointments
        18 – 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.

Jack Phinney No Comments

08-02-2018 Convergence Daily ADV Filing Changes

08-02-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        45 – Headcount Changes
        29 – C-Suite Appointments
         1 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        20 – Change in Assets
         1 – Custodian Changes
         4 – 3rd-Party Marketer Changes
       188 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        41 – Changes in RIC and BDC
         3 – Changes in Public Funds
        23 – Prime Broker, Custodian, and Marketer Fund Level Changes
         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

08-01-2018 Convergence Daily ADV Filing Changes

08-01-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        56 – Headcount Changes
        35 – C-Suite Appointments
        11 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        36 – Change in Assets
         3 – Custodian Changes
         1 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
       153 – ScheduleAB Changes
        68 – SEC-Dropped Funds
        46 – Changes in RIC and BDC
         2 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
        10 – New Fund Custodian Appointments
         1 – 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.