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06-04-2018 Convergence Daily ADV Filing Changes

        18 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        24 – Headcount Changes
        23 – C-Suite Appointments
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        27 – Change in Assets
         3 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       207 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        10 – SEC-Dropped Funds
        88 – Changes in RIC and BDC
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        14 – 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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