Jack Phinney No Comments

02-14-2019 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         4 – New Private Funds Disclosed
        53 – Headcount Changes
        14 – C-Suite Appointments
         4 – New Fund Auditor Appointments
         4 – New Fund Administrator Appointments
        70 – Change in Assets
         1 – Custodian Changes
         1 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
        65 – ScheduleAB Changes
         6 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
        12 – Changes in RIC and BDC
         2 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Custodian 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

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.