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03-04-2019 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        56 – New Private Funds Disclosed
       133 – Headcount Changes
        59 – C-Suite Appointments
         4 – Regulators and Violations
        55 – New Fund Auditor Appointments
        65 – New Fund Administrator Appointments
       162 – Change in Assets
         8 – Administrator Changes
         6 – Auditor Changes
         7 – Custodian Changes
         5 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        24 – Beneficial Ownership
       174 – ScheduleAB Changes
        11 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        18 – SEC-Dropped Funds
        53 – Changes in RIC and BDC
         2 – Changes in Public Funds
        11 – Prime Broker, Custodian, and Marketer Fund Level Changes
        20 – New Fund Prime Broker Appointments
        73 – New Fund Custodian Appointments
        18 – 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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