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06-28-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        21 – New Private Funds Disclosed
        60 – Headcount Changes
        26 – C-Suite Appointments
        27 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        85 – Change in Assets
         6 – Administrator Changes
         6 – Auditor Changes
         9 – Custodian Changes
         5 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
        28 – Beneficial Ownership
       205 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
        12 – SEC-Inactive Advisors
        40 – SEC-Dropped Funds
       134 – Changes in RIC and BDC
        90 – Changes in Public Funds
        34 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – 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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