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12-04-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        12 – Headcount Changes
        23 – C-Suite Appointments
         9 – Regulators and Violations
        23 – New Fund Auditor Appointments
        23 – New Fund Administrator Appointments
         6 – Change in Assets
         1 – Custodian Changes
         1 – 3rd-Party Marketer Changes
        82 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
        11 – SEC-Inactive Advisors
        16 – SEC-Dropped Funds
        40 – Changes in RIC and BDC
         4 – Changes in Public Funds
        14 – Prime Broker, Custodian, and Marketer Fund Level Changes
        17 – New Fund Custodian Appointments
         5 – 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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