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03-05-2019 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
       139 – Headcount Changes
        40 – C-Suite Appointments
         2 – Regulators and Violations
        17 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
       161 – Change in Assets
         2 – Administrator Changes
         5 – Auditor Changes
        15 – Custodian Changes
         2 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        17 – Beneficial Ownership
       141 – ScheduleAB Changes
         6 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        20 – SEC-Dropped Funds
        30 – Changes in RIC and BDC
        12 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        20 – New Fund Custodian Appointments
         1 – 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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