Jack Phinney No Comments

06-06-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        20 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        19 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         5 – Custodian Changes
         1 – Prime Broker Changes
         2 – Beneficial Ownership
        86 – ScheduleAB Changes
         4 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
        54 – Changes in RIC and BDC
         5 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
         8 – New Fund Custodian Appointments
         2 – 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.

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.