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05-15-2018 Convergence Daily ADV Filing Changes

        14 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        15 – Headcount Changes
        11 – C-Suite Appointments
         1 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        32 – Change in Assets
         3 – Administrator Changes
         7 – Custodian Changes
         5 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        83 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
        21 – SEC-Dropped Funds
        84 – Changes in RIC and BDC
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Custodian Appointments
         6 – 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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