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02-04-2019 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        80 – Headcount Changes
        62 – C-Suite Appointments
         2 – Regulators and Violations
        18 – New Fund Auditor Appointments
        18 – New Fund Administrator Appointments
       100 – Change in Assets
         6 – Administrator Changes
         6 – Auditor Changes
        17 – Custodian Changes
        17 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       140 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
         9 – Changes in RIC and BDC
        16 – Prime Broker, Custodian, and Marketer Fund Level Changes
        22 – New Fund Prime Broker Appointments
        38 – New Fund Custodian Appointments
         3 – 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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