Jack Phinney No Comments

01-08-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        10 – Headcount Changes
        22 – C-Suite Appointments
         3 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        17 – Change in Assets
         2 – Auditor Changes
         1 – Custodian Changes
         1 – Beneficial Ownership
        94 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
         9 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         8 – New Fund Prime Broker Appointments
        15 – 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.

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.