Jack Phinney No Comments

11-12-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
         9 – New Private Funds Disclosed
        33 – Headcount Changes
        31 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        20 – Change in Assets
         3 – Administrator Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       129 – ScheduleAB Changes
         6 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
         5 – New Fund Prime Broker Appointments
         8 – 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.

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.