Jack Phinney No Comments

11-19-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        26 – Headcount Changes
        16 – C-Suite Appointments
         7 – Regulators and Violations
        22 – New Fund Auditor Appointments
        25 – New Fund Administrator Appointments
        19 – Change in Assets
         3 – Administrator Changes
         2 – Custodian Changes
         6 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        99 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds
        28 – Changes in RIC and BDC
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
        17 – New Fund Prime Broker Appointments
        28 – 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.

Leave a Reply

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