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05-10-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        13 – Headcount Changes
        18 – C-Suite Appointments
         1 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        25 – Change in Assets
         2 – Auditor Changes
         2 – Beneficial Ownership
        66 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
        11 – Changes in Public Funds
         3 – 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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