Jack Phinney No Comments

02-15-2019 Convergence Daily ADV Filing Changes

02-15-2019 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        28 – New Private Funds Disclosed
        33 – Headcount Changes
        13 – C-Suite Appointments
        29 – New Fund Auditor Appointments
        29 – New Fund Administrator Appointments
        67 – Change in Assets
         3 – Administrator Changes
         3 – Auditor Changes
         6 – Custodian Changes
         2 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
        98 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
         4 – SEC-Dropped Funds
        54 – Changes in RIC and BDC
         3 – Changes in Public Funds
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        23 – New Fund Custodian Appointments
        16 – 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

02-14-2019 Convergence Daily ADV Filing Changes

02-14-2019 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         4 – New Private Funds Disclosed
        53 – Headcount Changes
        14 – C-Suite Appointments
         4 – New Fund Auditor Appointments
         4 – New Fund Administrator Appointments
        70 – Change in Assets
         1 – Custodian Changes
         1 – Prime Broker Changes
         3 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
        65 – ScheduleAB Changes
         6 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
        12 – Changes in RIC and BDC
         2 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – 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

02-12-2019 Convergence Daily ADV Filing Changes

02-12-2019 Convergence Daily ADV Filing Changes

        15 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        52 – Headcount Changes
        29 – C-Suite Appointments
        17 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        74 – Change in Assets
         2 – Administrator Changes
         4 – Auditor Changes
         4 – Custodian Changes
         2 – 3rd-Party Marketer Changes
        11 – Beneficial Ownership
       163 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         7 – SEC-Dropped Funds
        60 – Changes in RIC and BDC
         3 – Changes in Public Funds
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
        19 – 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
.

Jack Phinney No Comments

02-13-2019 Convergence Daily ADV Filing Changes

02-13-2019 Convergence Daily ADV Filing Changes

        12 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
        60 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
        19 – New Fund Auditor Appointments
        19 – New Fund Administrator Appointments
        85 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         6 – Custodian Changes
         4 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
       131 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        50 – Changes in RIC and BDC
         5 – Changes in Public Funds
         9 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
        12 – 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.

Jack Phinney No Comments

02-11-2019 Convergence Daily ADV Filing Changes

02-11-2019 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        24 – New Private Funds Disclosed
        52 – Headcount Changes
        34 – C-Suite Appointments
        10 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        74 – Change in Assets
         2 – Administrator Changes
         5 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
         9 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
       120 – ScheduleAB Changes
         5 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        41 – Changes in RIC and BDC
        11 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – New Fund Prime Broker Appointments
        20 – 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

02-08-2019 Convergence Daily ADV Filing Changes

02-08-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        50 – Headcount Changes
        27 – C-Suite Appointments
         2 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        65 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         5 – Custodian Changes
         2 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         5 – Beneficial Ownership
        84 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        23 – SEC-Dropped Funds
        23 – Changes in RIC and BDC
         5 – Changes in Public Funds
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         7 – 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

02-07-2019 Convergence Daily ADV Filing Changes

02-07-2019 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        71 – Headcount Changes
        27 – C-Suite Appointments
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        82 – Change in Assets
         4 – Administrator Changes
         1 – Auditor Changes
         9 – Custodian Changes
         3 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
         7 – Beneficial Ownership
        88 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        14 – SEC-Dropped Funds
         8 – Changes in RIC and BDC
         2 – Changes in Public Funds
         6 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        12 – New Fund Custodian Appointments
         3 – 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

02-06-2019 Convergence Daily ADV Filing Changes

02-06-2019 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
        37 – Headcount Changes
        28 – C-Suite Appointments
         1 – Regulators and Violations
        16 – New Fund Auditor Appointments
        16 – New Fund Administrator Appointments
        51 – Change in Assets
         3 – Administrator Changes
         2 – Auditor Changes
         3 – Custodian Changes
         2 – Beneficial Ownership
       118 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         1 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
         2 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
        17 – New Fund Custodian Appointments
         6 – 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

02-05-2019 Convergence Daily ADV Filing Changes

02-05-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        63 – Headcount Changes
        32 – C-Suite Appointments
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        75 – Change in Assets
         3 – Administrator Changes
         5 – Auditor Changes
         2 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         8 – Beneficial Ownership
        97 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         8 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        23 – Changes in RIC and BDC
         2 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         8 – 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.

Jack Phinney No Comments

02-04-2019 Convergence Daily ADV Filing Changes

02-04-2019 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        80 – Headcount Changes
        62 – C-Suite Appointments
         2 – Regulators and Violations
        18 – New Fund Auditor Appointments
        18 – New Fund Administrator Appointments
       100 – Change in Assets
         6 – Administrator Changes
         6 – Auditor Changes
        17 – Custodian Changes
        17 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       140 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
         9 – Changes in RIC and BDC
        16 – Prime Broker, Custodian, and Marketer Fund Level Changes
        22 – New Fund Prime Broker Appointments
        38 – New Fund Custodian Appointments
         3 – 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.