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11-29-2018 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
        78 – New Private Funds Disclosed
        23 – Headcount Changes
        20 – C-Suite Appointments
         3 – Regulators and Violations
        76 – New Fund Auditor Appointments
        77 – New Fund Administrator Appointments
        28 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         6 – Custodian Changes
         4 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        10 – Beneficial Ownership
        69 – ScheduleAB Changes
         7 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
         8 – Changes in RIC and BDC
        11 – Prime Broker, Custodian, and Marketer Fund Level Changes
        16 – New Fund Prime Broker Appointments
        93 – New Fund Custodian Appointments
        50 – 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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