Jack Phinney No Comments

09-07-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        16 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
        10 – Change in Assets
         3 – Administrator Changes
         7 – 3rd-Party Marketer Changes
       120 – ScheduleAB Changes
        16 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        12 – SEC-Dropped Funds
        39 – Changes in RIC and BDC
         2 – Changes in Public Funds
        12 – Prime Broker, Custodian, and Marketer Fund Level Changes

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.