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03-20-2018 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        33 – New Private Funds Disclosed
       287 – Headcount Changes
        21 – C-Suite Appointments
         3 – Regulators and Violations
        33 – New Fund Auditor Appointments
        33 – New Fund Administrator Appointments
       370 – Change in Assets
        12 – Administrator Changes
        17 – Auditor Changes
        33 – Custodian Changes
        14 – Prime Broker Changes
         6 – 3rd-Party Marketer Changes
        73 – Beneficial Ownership
       210 – ScheduleAB Changes
        21 – SEC Admin and Auditor Fund Changes
        12 – SEC-Inactive Advisors
        29 – 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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