Jack Phinney No Comments

03-20-2019 Convergence Daily ADV Filing Changes

03-20-2019 Convergence Daily ADV Filing Changes

         4 – SEC-Inactive Advisors
         8 – SEC-Dropped Funds

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
.

Jack Phinney No Comments

03-19-2019 Convergence Daily ADV Filing Changes

03-19-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        38 – New Private Funds Disclosed
       227 – Headcount Changes
        79 – C-Suite Appointments
        25 – Regulators and Violations
        35 – New Fund Auditor Appointments
        35 – New Fund Administrator Appointments
       303 – Change in Assets
        19 – Administrator Changes
        14 – Auditor Changes
        44 – Custodian Changes
        16 – Prime Broker Changes
        21 – 3rd-Party Marketer Changes
        58 – Beneficial Ownership
       266 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
       287 – SEC-Dropped Funds
        21 – Changes in RIC and BDC
         9 – Changes in Public Funds
        33 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        21 – 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
.

Jack Phinney No Comments

03-18-2019 Convergence Daily ADV Filing Changes

03-18-2019 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        36 – New Private Funds Disclosed
       255 – Headcount Changes
        86 – C-Suite Appointments
        14 – Regulators and Violations
        35 – New Fund Auditor Appointments
        35 – New Fund Administrator Appointments
       360 – Change in Assets
         4 – Administrator Changes
        10 – Auditor Changes
        25 – Custodian Changes
         7 – Prime Broker Changes
         7 – 3rd-Party Marketer Changes
        95 – Beneficial Ownership
       264 – ScheduleAB Changes
        14 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
        32 – SEC-Dropped Funds
        37 – Changes in RIC and BDC
         4 – Changes in Public Funds
        50 – Prime Broker, Custodian, and Marketer Fund Level Changes
        25 – 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
.

Jack Phinney No Comments

03-15-2019 Convergence Daily ADV Filing Changes

03-15-2019 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        33 – New Private Funds Disclosed
       215 – Headcount Changes
        76 – C-Suite Appointments
         3 – Regulators and Violations
        30 – New Fund Auditor Appointments
        30 – New Fund Administrator Appointments
       291 – Change in Assets
         5 – Administrator Changes
         4 – Auditor Changes
        18 – Custodian Changes
         4 – Prime Broker Changes
         9 – 3rd-Party Marketer Changes
        47 – Beneficial Ownership
       182 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        32 – SEC-Dropped Funds
        39 – Changes in RIC and BDC
         6 – Changes in Public Funds
        20 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        18 – New Fund Custodian Appointments
         7 – 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
.

Jack Phinney No Comments

03-14-2019 Convergence Daily ADV Filing Changes

03-14-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        43 – New Private Funds Disclosed
       230 – Headcount Changes
        56 – C-Suite Appointments
        15 – Regulators and Violations
        36 – New Fund Auditor Appointments
        36 – New Fund Administrator Appointments
       266 – Change in Assets
        12 – Administrator Changes
        13 – Auditor Changes
        24 – Custodian Changes
        11 – Prime Broker Changes
         9 – 3rd-Party Marketer Changes
        54 – Beneficial Ownership
       177 – ScheduleAB Changes
         9 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        89 – SEC-Dropped Funds
        29 – Changes in RIC and BDC
         5 – Changes in Public Funds
        35 – Prime Broker, Custodian, and Marketer Fund Level Changes
         7 – New Fund Prime Broker Appointments
        39 – New Fund Custodian Appointments
        11 – 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
.

Jack Phinney No Comments

03-13-2019 Convergence Daily ADV Filing Changes

03-13-2019 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        22 – New Private Funds Disclosed
       243 – Headcount Changes
        63 – C-Suite Appointments
         3 – Regulators and Violations
        21 – New Fund Auditor Appointments
        21 – New Fund Administrator Appointments
       281 – Change in Assets
         6 – Administrator Changes
         5 – Auditor Changes
        19 – Custodian Changes
         1 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        47 – Beneficial Ownership
       236 – ScheduleAB Changes
        11 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        27 – SEC-Dropped Funds
        30 – Changes in RIC and BDC
         5 – Changes in Public Funds
        26 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        21 – New Fund Custodian 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
.

Jack Phinney No Comments

03-12-2019 Convergence Daily ADV Filing Changes

03-12-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        26 – New Private Funds Disclosed
       202 – Headcount Changes
        53 – C-Suite Appointments
         7 – Regulators and Violations
        25 – New Fund Auditor Appointments
        26 – New Fund Administrator Appointments
       219 – Change in Assets
         8 – Administrator Changes
         6 – Auditor Changes
        12 – Custodian Changes
         5 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        20 – Beneficial Ownership
       140 – ScheduleAB Changes
         6 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        60 – SEC-Dropped Funds
        25 – Changes in RIC and BDC
         1 – Changes in Public Funds
        22 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – New Fund Prime Broker Appointments
        24 – New Fund Custodian Appointments
         9 – 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
.

Jack Phinney No Comments

03-11-2019 Convergence Daily ADV Filing Changes

03-11-2019 Convergence Daily ADV Filing Changes

        11 – New SEC-Registered Investment Advisors
        48 – New Private Funds Disclosed
       187 – Headcount Changes
        75 – C-Suite Appointments
         4 – Regulators and Violations
        46 – New Fund Auditor Appointments
        46 – New Fund Administrator Appointments
       232 – Change in Assets
        10 – Administrator Changes
         8 – Auditor Changes
        14 – Custodian Changes
         9 – Prime Broker Changes
        11 – 3rd-Party Marketer Changes
        38 – Beneficial Ownership
       223 – ScheduleAB Changes
        25 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        33 – SEC-Dropped Funds
        51 – Changes in RIC and BDC
         2 – Changes in Public Funds
        25 – Prime Broker, Custodian, and Marketer Fund Level Changes
         9 – New Fund Prime Broker Appointments
        43 – New Fund Custodian Appointments
         2 – 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
.

Jack Phinney No Comments

03-08-2019 Convergence Daily ADV Filing Changes

03-08-2019 Convergence Daily ADV Filing Changes

 

         3 – New SEC-Registered Investment Advisors
        31 – New Private Funds Disclosed
       119 – Headcount Changes
        39 – C-Suite Appointments
         3 – Regulators and Violations
        30 – New Fund Auditor Appointments
        30 – New Fund Administrator Appointments
       148 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         4 – Custodian Changes
         2 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        18 – Beneficial Ownership
       122 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
        12 – SEC-Dropped Funds
        19 – Changes in RIC and BDC
         7 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        31 – New Fund Custodian 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
.

Jack Phinney No Comments

03-07-2019 Convergence Daily ADV Filing Changes

03-07-2019 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        36 – New Private Funds Disclosed
       135 – Headcount Changes
        56 – C-Suite Appointments
        39 – Regulators and Violations
        33 – New Fund Auditor Appointments
        33 – New Fund Administrator Appointments
       172 – Change in Assets
         1 – Administrator Changes
         4 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
        23 – Beneficial Ownership
       156 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
        18 – SEC-Dropped Funds
        38 – Changes in RIC and BDC
         5 – Changes in Public Funds
        10 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        29 – New Fund Custodian 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
.