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01-29-2019 Convergence Daily ADV Filing Changes

        35 – New SEC-Registered Investment Advisors
        80 – New Private Funds Disclosed
        59 – Headcount Changes
        33 – C-Suite Appointments
        16 – Regulators and Violations
        80 – New Fund Auditor Appointments
        80 – New Fund Administrator Appointments
        66 – Change in Assets
         3 – Administrator Changes
         7 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
         7 – 3rd-Party Marketer Changes
         7 – Beneficial Ownership
       239 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
        35 – SEC-Dropped Funds
       142 – Changes in RIC and BDC
         3 – Changes in Public Funds
        12 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        55 – New Fund Custodian Appointments
        34 – 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.

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