Jack Phinney No Comments

01-28-2019 Convergence Daily ADV Filing Changes

         7 – New Private Funds Disclosed
        55 – Headcount Changes
        23 – C-Suite Appointments
         3 – Regulators and Violations
        50 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         3 – Beneficial Ownership
        65 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
         2 – Changes in RIC and BDC
         6 – Changes in Public 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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