Jack Phinney No Comments

03-28-2018 Convergence Daily ADV Filing Changes

        16 – New SEC-Registered Investment Advisors
       269 – New Private Funds Disclosed
      1014 – Headcount Changes
       107 – C-Suite Appointments
       100 – Regulators and Violations
       217 – New Fund Auditor Appointments
       229 – New Fund Administrator Appointments
      1337 – Change in Assets
        69 – Administrator Changes
        59 – Auditor Changes
       166 – Custodian Changes
        43 – Prime Broker Changes
       113 – 3rd-Party Marketer Changes
       417 – Beneficial Ownership
      1343 – ScheduleAB Changes
       169 – SEC Admin and Auditor Fund Changes
        21 – SEC-Inactive Advisors
       218 – SEC-Dropped Funds

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