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01-03-2019 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        56 – Headcount Changes
        43 – C-Suite Appointments
         5 – Regulators and Violations
        16 – New Fund Auditor Appointments
        18 – New Fund Administrator Appointments
        27 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         2 – Custodian Changes
         2 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
       257 – ScheduleAB Changes
        14 – SEC-Inactive Advisors
        20 – SEC-Dropped Funds
        28 – Changes in RIC and BDC
        60 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        11 – 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.

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