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11-28-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        39 – New Private Funds Disclosed
        22 – Headcount Changes
        10 – C-Suite Appointments
         4 – Regulators and Violations
        38 – New Fund Auditor Appointments
        38 – New Fund Administrator Appointments
        21 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         5 – Custodian Changes
         4 – 3rd-Party Marketer Changes
         4 – Beneficial Ownership
        81 – ScheduleAB Changes
         4 – SEC-Inactive Advisors
         5 – SEC-Dropped Funds
        28 – Changes in RIC and BDC
         1 – Changes in Public Funds
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         8 – New Fund Prime Broker Appointments
        51 – New Fund Custodian Appointments
         9 – 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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