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06-22-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         3 – New Private Funds Disclosed
        30 – Headcount Changes
        17 – C-Suite Appointments
         2 – Regulators and Violations
         3 – New Fund Auditor Appointments
         3 – New Fund Administrator Appointments
        33 – Change in Assets
         4 – Auditor Changes
        16 – Custodian Changes
        12 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         7 – Beneficial Ownership
        78 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
         7 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – 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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