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01-07-2019 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        13 – Headcount Changes
        31 – C-Suite Appointments
        22 – New Fund Auditor Appointments
        22 – New Fund Administrator Appointments
        24 – Change in Assets
         5 – Administrator Changes
         1 – Auditor Changes
         3 – Custodian Changes
         2 – Prime Broker Changes
         2 – Beneficial Ownership
       125 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
        30 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         1 – Changes in Public Funds
        30 – New Fund Prime Broker Appointments
        20 – New Fund Custodian Appointments
         9 – 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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