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01-30-2019 Convergence Daily ADV Filing Changes

        12 – New SEC-Registered Investment Advisors
        32 – New Private Funds Disclosed
        97 – Headcount Changes
        37 – C-Suite Appointments
         4 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        85 – Change in Assets
         5 – Administrator Changes
         7 – Auditor Changes
        11 – Custodian Changes
        11 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       215 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         9 – SEC-Dropped Funds
        50 – Changes in RIC and BDC
        16 – Changes in Public Funds
        21 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Prime Broker Appointments
        24 – New Fund Custodian Appointments
         2 – 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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