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01-09-2019 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
        25 – Headcount Changes
        15 – C-Suite Appointments
         1 – Regulators and Violations
        19 – New Fund Auditor Appointments
        19 – New Fund Administrator Appointments
        24 – Change in Assets
         5 – Administrator Changes
         2 – Auditor Changes
        12 – Custodian Changes
         8 – Prime Broker Changes
         1 – Beneficial Ownership
        79 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        22 – SEC-Dropped Funds
        17 – Changes in RIC and BDC
        24 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        12 – New Fund Prime Broker Appointments
        27 – New Fund Custodian Appointments
         2 – 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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