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09-13-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        14 – Headcount Changes
        20 – C-Suite Appointments
         4 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        18 – Change in Assets
         2 – Administrator Changes
         9 – Custodian Changes
         4 – Prime Broker Changes
        11 – 3rd-Party Marketer Changes
        22 – Beneficial Ownership
        78 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         7 – SEC-Dropped Funds
        29 – Changes in RIC and BDC
         2 – Changes in Public Funds
        15 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – 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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