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11-06-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        23 – Headcount Changes
        30 – C-Suite Appointments
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        11 – Change in Assets
         5 – Custodian Changes
       104 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds
        40 – Changes in RIC and BDC
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
        18 – New Fund Custodian Appointments
        11 – 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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