Jack Phinney No Comments

03-07-2019 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        36 – New Private Funds Disclosed
       135 – Headcount Changes
        56 – C-Suite Appointments
        39 – Regulators and Violations
        33 – New Fund Auditor Appointments
        33 – New Fund Administrator Appointments
       172 – Change in Assets
         1 – Administrator Changes
         4 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
        23 – Beneficial Ownership
       156 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
        18 – SEC-Dropped Funds
        38 – Changes in RIC and BDC
         5 – Changes in Public Funds
        10 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        29 – 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.