About Us

Convergence was founded in 2013 by former executives of JP Morgan, Apollo Global, GlobeOp Financial, BISYS, Fidelity Alternative Investments, Bank of America, Arthur Andersen, KPMG, and MFS Investments who sought to fill a void in data, research and analytics coverage of the Alternative Investments space. A combined 120 years of industry experience coupled with our leading technology has rapidly brought Convergence to the forefront of RIA infrastructure best practices and transparency.

The Convergence Ten Data and Operating Principles

What sets us apart from other providers is our ten data and operating principles

Our Business Focus
We focus on the early detection and remediation of non-investment risk within and across managers in your portfolio and the market by adopting a daily monitoring and analytical culture.

Our Data and Informational Assets
Our data sourcing is continuous and includes a variety of sources from which we create original content that infuse with meaning.  We hold ourselves to a 95% data accuracy standard.

Our Business Rules and Algorithms
128,000 lines of code have been written to create 350+ business rules and proprietary algorithms, all trained to identify non-investment risk conditions of interest for our clients.

Our Use of Data Science
We apply data science techniques to our data to discover “risk transactions” and “signals” that we can use to “get-out-in-front of and remediate non-investment risk early.

Our Clients
We have over 100 clients who face myriad challenges in the market.  We deliver them a steady stream of new insights, products and enhancements based on their feedback.

Our Attitude Towards Risk and Compliance
We believe that most non-investment losses can be significantly reduced, and our goal is to help you identify and limit financial losses and reputational harm driven by non-investment risk.

Our Expertise
Our founders and senior leaders have 100+ years of experience leading growth and risk management agendas at the world’s leading asset management firms.

Our Service Delivery Model
Our service delivery model is flexible and based on a “push-pull” approach based on your needs. Our clients consume our data and content in multiple ways.

Our Focus on Education
We believe educated clients challenge us to be better each day. We provide initial and ongoing training to help you use our data and insights more effectively.

Your Return on Investment
We care about each dollar that you spend with us and work to ensure that you achieve your goals with our data and create a positive return on investment.

Our Core Products

Data Subscription

Daily Research and News on Advisors, the Service Provider and Allocator ecosystem

Research and Data Lookup

  • Advisor/Manager
  • Service Providers
  • Market and SEC News
  • 13f – Form D – ADV
  • Asset Class
  • Strategy

Analytical Tools

  • Regulatory Event Analytics
  • Advisor Redline Brochure
  • ADV Analyzer for CCO’s
  • Regulatory Disclosures
  • Talent Identification
  • Fund Expense Practices
  • Advisor Complexity
  • Service Provider Books
  • Service Provider Market Share
  • Headcount Benchmarking

Reporting -Data Feeds

  • Manager Group Profile
  • Advisor Profile
  • Service Provider Profile
  • ADV Material Change Alerts
  • Form D Change Alerts
  • 3D State Advisors
  • 3D Mutual Fund Advisors
  • Non-Investment Risk
  • Manager Website Changes


  • Market News
  • Convergence Advisor News
  • Regulatory Event News
  • Service Provider News

Strategic Products

Extensive Use of Time Series and Predictive Analytics

ODD – Non-Investment Risk
Focused on Operating, Compliance, Vendor and Regulatory Event Risk

Enterprise Data Partnership
In conjunction with subscription, data feed to CRM/Data Warehouse

Independence Testing – Client Acceptance Testing
Ability to reference all entities and individuals in the Convergence database

Competitive Assessment
Benchmark your growth as a Service Provider to the Market and select Competitors

Outsourced Data Science
Augment your internal team with Convergence expertise

Regulatory Event Analyses
‘Match’ High Risk Business Risk factors associated with Advisor regulatory infractions

Sales Advisory
Custom Lead generation and targeting of the Market

Clients at Risk
Analyses of Administrator and Audit firm books for client/peer group historical behavior

M&A Support
Target Identification and Due Diligence support

Custom Research
Ad-hoc that can look at market – trends –targeting – competitors etc


John Phinney

Chairman & Co-President
  • Apollo Global Management-Fund Group: CFO/COO
  • Rohatyn Group: CFO/COO
  • JPMorgan [Various Divisions]: CFO
  • Fidelity Alternative Investments: Director of Operations

George Evans

  • Gladstone Associates: Managing Director
  • GlobeOp Financial, Outsource Partners International BISYS Financial Services: Global Head of BD
  • JPMorgan Investor Services: Senior Vice President
  • The Prudential: Assistant Treasurer

Vidya Minukuri

Global Head of Data Science
  • Tata Consultancy Services: Assistant Business Consultant & Project Manager
  • British Telecom [through TCS]: Lead Business Analyst & Solution Architect
  • Ericsson [through TCS] : IT Systems Engineer and IT development team leader

George Gainer

CPA Global Head Client Management
  • Gravitas: Finance & Business Performance Analyst
  • Apollo [through Gravitas]: Business Analysis & Reporting
  • Iron Mountain: Acquisition Accounting Manager
  • KPMG: Transaction Services Manager
  • Deloitte: Audit Senior Staff

James Kelly

Senior Managing Director-Institutional Investors
  • Citibank-Head Capital Introduction (Americas)
  • Morgan Stanley – Head Capital Introduction (Americas)
  • Texas Alternative Investment Association-Advisory Board
  • Bear Stearns – Managing Director of Transition Management
  • NYSE-Floor Official and Member Judiciary Hearing Panel

John Pethtel

Chief Technology Officer
  • Bank of America – Head of Global Equities Reference Data and Client Delivery
  • Merrill Lynch: Portfolio Risk Analytics Technology Head
  • ITG: Senior Product Manager Market and Reference Data
  • Nicholas Applegate: Market and Reference Data Head

Eileen Cleary

President, Talent Management
  • Executive Management Consultant
  • Atlas Data: Chief Executive Officer and Co-founder
  • J. & W. Seligman & Co. Incorporated: V.P. Human Resources
  • UJB-Financial: V.P. Employee Benefits
Convergence Data & Research
Convergence provides unprecedented TRANSPARENCY and INSIGHTS into what is taking place DAILY in an industry that has gone mainstream. See how our data and research will optimize your business model. Contact us to set up a demo today!