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06-29-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
       130 – New Private Funds Disclosed
       115 – Headcount Changes
        47 – C-Suite Appointments
        41 – Regulators and Violations
       122 – New Fund Auditor Appointments
       122 – New Fund Administrator Appointments
       121 – Change in Assets
        22 – Administrator Changes
        15 – Auditor Changes
        21 – Custodian Changes
        11 – Prime Broker Changes
        20 – 3rd-Party Marketer Changes
        47 – Beneficial Ownership
       225 – ScheduleAB Changes
        81 – SEC Admin and Auditor Fund Changes
        12 – SEC-Inactive Advisors
        91 – SEC-Dropped Funds
       121 – Changes in RIC and BDC
        70 – Changes in Public Funds
        41 – Prime Broker, Custodian, and Marketer Fund Level Changes
         9 – New Fund Prime Broker Appointments
        97 – New Fund Custodian Appointments
        48 – 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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