Jack Phinney No Comments

02-20-2019 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        45 – New Private Funds Disclosed
        54 – Headcount Changes
        35 – C-Suite Appointments
         3 – Regulators and Violations
        42 – New Fund Auditor Appointments
        43 – New Fund Administrator Appointments
        85 – Change in Assets
         4 – Auditor Changes
         1 – Custodian Changes
         4 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         8 – Beneficial Ownership
       132 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        19 – SEC-Dropped Funds
        37 – Changes in RIC and BDC
         2 – Changes in Public Funds
         8 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
        72 – New Fund Custodian Appointments
        31 – 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
.

Leave a Reply

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