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01-31-2019 Convergence Daily ADV Filing Changes

        24 – New SEC-Registered Investment Advisors
        25 – New Private Funds Disclosed
        92 – Headcount Changes
        49 – C-Suite Appointments
        34 – Regulators and Violations
        24 – New Fund Auditor Appointments
        24 – New Fund Administrator Appointments
        95 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
        14 – Custodian Changes
         8 – Prime Broker Changes
        21 – 3rd-Party Marketer Changes
        12 – Beneficial Ownership
       298 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        34 – SEC-Dropped Funds
       103 – Changes in RIC and BDC
        31 – Changes in Public Funds
         9 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
        19 – New Fund Custodian Appointments
        32 – 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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