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11-14-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        21 – New Private Funds Disclosed
        11 – Headcount Changes
        20 – C-Suite Appointments
        20 – New Fund Auditor Appointments
        21 – New Fund Administrator Appointments
        14 – Change in Assets
         1 – Administrator Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
        79 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        17 – Changes in RIC and BDC
        40 – New Fund Prime Broker Appointments
        58 – New Fund Custodian Appointments
        14 – 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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