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11-13-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        15 – Headcount Changes
        29 – C-Suite Appointments
        44 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
         8 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         5 – 3rd-Party Marketer Changes
        85 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
        23 – SEC-Dropped Funds
         8 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Custodian Appointments
         1 – 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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