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07-31-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         5 – New Private Funds Disclosed
        54 – Headcount Changes
        26 – C-Suite Appointments
        41 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        39 – Change in Assets
         3 – Administrator Changes
         1 – Auditor Changes
         7 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         6 – Beneficial Ownership
       117 – ScheduleAB Changes
        20 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        12 – SEC-Dropped Funds
        23 – Changes in RIC and BDC
        35 – Changes in Public Funds
         8 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         5 – New Fund Custodian Appointments
         2 – 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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