Jack Phinney No Comments

06-27-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
        26 – New Private Funds Disclosed
        43 – Headcount Changes
        11 – C-Suite Appointments
        11 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        50 – Change in Assets
         1 – Administrator Changes
         5 – Auditor Changes
         2 – Custodian Changes
         1 – 3rd-Party Marketer Changes
        24 – Beneficial Ownership
       137 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        17 – SEC-Dropped Funds
        60 – Changes in RIC and BDC
       220 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
         6 – New Fund Custodian 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.