Convergence No Comments

04-29-2018 Convergence Daily ADV Filing Changes

        23 – New SEC-Registered Investment Advisors
        61 – New Private Funds Disclosed
        43 – Headcount Changes
        36 – C-Suite Appointments
        13 – Regulators and Violations
        45 – New Fund Auditor Appointments
        45 – New Fund Administrator Appointments
        66 – Change in Assets
         5 – Administrator Changes
         2 – Auditor Changes
        10 – Custodian Changes
         4 – Prime Broker Changes
        10 – 3rd-Party Marketer Changes
        14 – Beneficial Ownership
       280 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
       123 – Changes in RIC and BDC
         2 – Changes in Public Funds
        16 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Prime Broker Appointments
        50 – 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.

Leave a Reply

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