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02-11-2019 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        24 – New Private Funds Disclosed
        52 – Headcount Changes
        34 – C-Suite Appointments
        10 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        74 – Change in Assets
         2 – Administrator Changes
         5 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
         9 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
       120 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        41 – Changes in RIC and BDC
        11 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – New Fund Prime Broker Appointments
        20 – New Fund Custodian Appointments
         4 – 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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