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08-02-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        45 – Headcount Changes
        29 – C-Suite Appointments
         1 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        20 – Change in Assets
         1 – Custodian Changes
         4 – 3rd-Party Marketer Changes
       188 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        41 – Changes in RIC and BDC
         3 – Changes in Public Funds
        23 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – 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.

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