Jack Phinney No Comments

09-18-2018 Convergence Daily ADV Filing Changes

09-18-2018 Convergence Daily ADV Filing Changes

        12 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        24 – Headcount Changes
        26 – C-Suite Appointments
         7 – New Fund Auditor Appointments
         7 – New Fund Administrator Appointments
        11 – Change in Assets
         1 – 3rd-Party Marketer Changes
        89 – ScheduleAB Changes
         4 – SEC-Inactive Advisors
        52 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – New Fund Prime Broker Appointments
         6 – 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

09-17-2018 Convergence Daily ADV Filing Changes

09-17-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        14 – Headcount Changes
        21 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        13 – Change in Assets
         4 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
       128 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
        32 – Changes in RIC and BDC
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
         4 – New Fund Prime Broker Appointments
         6 – 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

09-14-2018 Convergence Daily ADV Filing Changes

09-14-2018 Convergence Daily ADV Filing 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.

Jack Phinney No Comments

09-13-2018 Convergence Daily ADV Filing Changes

09-13-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        14 – Headcount Changes
        20 – C-Suite Appointments
         4 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        18 – Change in Assets
         2 – Administrator Changes
         9 – Custodian Changes
         4 – Prime Broker Changes
        11 – 3rd-Party Marketer Changes
        22 – Beneficial Ownership
        78 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         7 – SEC-Dropped Funds
        29 – Changes in RIC and BDC
         2 – Changes in Public Funds
        15 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
         5 – 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

09-12-2018 Convergence Daily ADV Filing Changes

09-12-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        21 – Headcount Changes
        34 – C-Suite Appointments
        16 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        14 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
         4 – 3rd-Party Marketer Changes
       115 – ScheduleAB Changes
         4 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        21 – Changes in RIC and BDC
         2 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         7 – 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

09-11-2018 Convergence Daily ADV Filing Changes

09-11-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        16 – Headcount Changes
        24 – C-Suite Appointments
         1 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        18 – Change in Assets
         2 – Administrator Changes
         1 – Custodian Changes
       110 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        35 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         6 – 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

09-10-2018 Convergence Daily ADV Filing Changes

09-10-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
         5 – New Private Funds Disclosed
        11 – Headcount Changes
        23 – C-Suite Appointments
         5 – Regulators and Violations
         5 – New Fund Auditor Appointments
         5 – New Fund Administrator Appointments
        11 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         4 – Custodian Changes
         2 – Prime Broker Changes
       118 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        24 – Changes in RIC and BDC
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
         2 – 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

09-07-2018 Convergence Daily ADV Filing Changes

09-07-2018 Convergence Daily ADV Filing Changes

         8 – New SEC-Registered Investment Advisors
        16 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
        10 – Change in Assets
         3 – Administrator Changes
         7 – 3rd-Party Marketer Changes
       120 – ScheduleAB Changes
        16 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        12 – SEC-Dropped Funds
        39 – Changes in RIC and BDC
         2 – Changes in Public Funds
        12 – 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.

Jack Phinney No Comments

09-06-2018 Convergence Daily ADV Filing Changes

09-06-2018 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
         7 – New Private Funds Disclosed
        25 – Headcount Changes
        39 – C-Suite Appointments
         2 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        18 – Change in Assets
         3 – Administrator Changes
         4 – Auditor Changes
         5 – Custodian Changes
         4 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
       133 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        15 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
         5 – 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

09-05-2018 Convergence Daily ADV Filing Changes

09-05-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        19 – Headcount Changes
        35 – C-Suite Appointments
         2 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        13 – Change in Assets
       132 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         1 – Changes in Public 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.