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11-30-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        37 – New Private Funds Disclosed
        46 – Headcount Changes
        29 – C-Suite Appointments
        16 – Regulators and Violations
        33 – New Fund Auditor Appointments
        33 – New Fund Administrator Appointments
        40 – Change in Assets
         3 – Administrator Changes
         3 – Auditor Changes
         3 – Custodian Changes
         5 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         4 – Beneficial Ownership
        91 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        25 – SEC-Dropped Funds
        39 – Changes in RIC and BDC
         5 – Changes in Public Funds
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
        36 – New Fund Prime Broker Appointments
        24 – New Fund Custodian Appointments
         4 – 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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