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03-25-2018 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        96 – New Private Funds Disclosed
       573 – Headcount Changes
        79 – C-Suite Appointments
        34 – Regulators and Violations
        85 – New Fund Auditor Appointments
        85 – New Fund Administrator Appointments
       679 – Change in Assets
        20 – Administrator Changes
        39 – Auditor Changes
        86 – Custodian Changes
        24 – Prime Broker Changes
        32 – 3rd-Party Marketer Changes
       178 – Beneficial Ownership
       639 – ScheduleAB Changes
        76 – SEC Admin and Auditor Fund Changes
        13 – SEC-Inactive Advisors
        87 – 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.

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