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03-14-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        43 – New Private Funds Disclosed
       230 – Headcount Changes
        56 – C-Suite Appointments
        15 – Regulators and Violations
        36 – New Fund Auditor Appointments
        36 – New Fund Administrator Appointments
       266 – Change in Assets
        12 – Administrator Changes
        13 – Auditor Changes
        24 – Custodian Changes
        11 – Prime Broker Changes
         9 – 3rd-Party Marketer Changes
        54 – Beneficial Ownership
       177 – ScheduleAB Changes
         9 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        89 – SEC-Dropped Funds
        29 – Changes in RIC and BDC
         5 – Changes in Public Funds
        35 – Prime Broker, Custodian, and Marketer Fund Level Changes
         7 – New Fund Prime Broker Appointments
        39 – New Fund Custodian Appointments
        11 – 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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