Jack Phinney No Comments

12-06-2018 Convergence Daily ADV Filing Changes

        19 – Headcount Changes
        18 – C-Suite Appointments
         1 – Regulators and Violations
         6 – Change in Assets
         1 – Custodian Changes
        43 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes

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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