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03-08-2019 Convergence Daily ADV Filing Changes

 

         3 – New SEC-Registered Investment Advisors
        31 – New Private Funds Disclosed
       119 – Headcount Changes
        39 – C-Suite Appointments
         3 – Regulators and Violations
        30 – New Fund Auditor Appointments
        30 – New Fund Administrator Appointments
       148 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         4 – Custodian Changes
         2 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        18 – Beneficial Ownership
       122 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        12 – SEC-Dropped Funds
        19 – Changes in RIC and BDC
         7 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        31 – 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
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