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09-12-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        21 – Headcount Changes
        34 – C-Suite Appointments
        16 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        14 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         4 – 3rd-Party Marketer Changes
       115 – ScheduleAB Changes
         4 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        21 – Changes in RIC and BDC
         2 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         7 – New Fund Custodian Appointments
         7 – 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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