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12-05-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         1 – New Private Funds Disclosed
        14 – Headcount Changes
        17 – C-Suite Appointments
         7 – Regulators and Violations
         1 – New Fund Auditor Appointments
         1 – New Fund Administrator Appointments
         7 – Change in Assets
         1 – Custodian Changes
         7 – Beneficial Ownership
        92 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Custodian Appointments
         1 – 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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