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11-09-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        10 – Headcount Changes
        15 – C-Suite Appointments
         2 – Regulators and Violations
        18 – New Fund Auditor Appointments
        18 – New Fund Administrator Appointments
        11 – Change in Assets
         1 – Administrator Changes
         4 – Auditor Changes
         1 – Custodian Changes
         1 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
       100 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
        14 – New Fund Prime Broker Appointments
        16 – New Fund Custodian Appointments
        10 – 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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