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05-30-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        34 – New Private Funds Disclosed
        18 – Headcount Changes
        18 – C-Suite Appointments
        47 – Regulators and Violations
        34 – New Fund Auditor Appointments
        34 – New Fund Administrator Appointments
        28 – Change in Assets
         5 – Administrator Changes
         2 – Auditor Changes
         6 – Custodian Changes
         4 – Prime Broker Changes
        10 – 3rd-Party Marketer Changes
        10 – Beneficial Ownership
        98 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         3 – SEC-Dropped Funds
        54 – Changes in RIC and BDC
         9 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
        23 – New Fund Prime Broker Appointments
        40 – New Fund Custodian Appointments
        16 – 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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