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01-16-2019 Convergence Daily ADV Filing Changes

01-16-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        31 – Headcount Changes
        40 – C-Suite Appointments
         3 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        33 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         2 – Custodian Changes
         5 – Beneficial Ownership
       133 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        22 – Changes in RIC and BDC
         5 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
         9 – 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

01-15-2019 Convergence Daily ADV Filing Changes

01-15-2019 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
         8 – New Private Funds Disclosed
        32 – Headcount Changes
        28 – C-Suite Appointments
         4 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        33 – Change in Assets
         3 – Administrator Changes
         2 – Custodian Changes
         2 – Prime Broker Changes
         5 – Beneficial Ownership
       131 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
        17 – SEC-Dropped Funds
         9 – Changes in RIC and BDC
         3 – Changes in Public Funds
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         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

01-14-2019 Convergence Daily ADV Filing Changes

01-14-2019 Convergence Daily ADV Filing Changes

         1 – New Private Funds Disclosed
        26 – Headcount Changes
        26 – C-Suite Appointments
         3 – Regulators and Violations
         1 – New Fund Auditor Appointments
         1 – New Fund Administrator Appointments
        27 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         2 – Custodian Changes
         3 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        90 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        25 – SEC-Dropped Funds
         5 – 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

01-11-2019 Convergence Daily ADV Filing Changes

01-11-2019 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        29 – Headcount Changes
        34 – C-Suite Appointments
         6 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        17 – Change in Assets
         1 – Auditor Changes
         1 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        72 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        10 – Changes in RIC and BDC
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         8 – 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

01-10-2019 Convergence Daily ADV Filing Changes

01-10-2019 Convergence Daily ADV Filing Changes

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

01-09-2019 Convergence Daily ADV Filing Changes

01-09-2019 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        19 – New Private Funds Disclosed
        25 – Headcount Changes
        15 – C-Suite Appointments
         1 – Regulators and Violations
        19 – New Fund Auditor Appointments
        19 – New Fund Administrator Appointments
        24 – Change in Assets
         5 – Administrator Changes
         2 – Auditor Changes
        12 – Custodian Changes
         8 – Prime Broker Changes
         1 – Beneficial Ownership
        79 – ScheduleAB Changes
         2 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
        22 – SEC-Dropped Funds
        17 – Changes in RIC and BDC
        24 – Changes in Public Funds
         5 – Prime Broker, Custodian, and Marketer Fund Level Changes
        12 – New Fund Prime Broker Appointments
        27 – 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

01-08-2019 Convergence Daily ADV Filing Changes

01-08-2019 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        10 – Headcount Changes
        22 – C-Suite Appointments
         3 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        17 – Change in Assets
         2 – Auditor Changes
         1 – Custodian Changes
         1 – Beneficial Ownership
        94 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
         9 – SEC-Dropped Funds
        20 – Changes in RIC and BDC
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         8 – New Fund Prime Broker Appointments
        15 – 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

01-07-2019 Convergence Daily ADV Filing Changes

01-07-2019 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        23 – New Private Funds Disclosed
        13 – Headcount Changes
        31 – C-Suite Appointments
        22 – New Fund Auditor Appointments
        22 – New Fund Administrator Appointments
        24 – Change in Assets
         5 – Administrator Changes
         1 – Auditor Changes
         3 – Custodian Changes
         2 – Prime Broker Changes
         2 – Beneficial Ownership
       125 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
        30 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         1 – Changes in Public Funds
        30 – New Fund Prime Broker Appointments
        20 – 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

01-04-2019 Convergence Daily ADV Filing Changes

01-04-2019 Convergence Daily ADV Filing Changes

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

01-03-2019 Convergence Daily ADV Filing Changes

01-03-2019 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        18 – New Private Funds Disclosed
        56 – Headcount Changes
        43 – C-Suite Appointments
         5 – Regulators and Violations
        16 – New Fund Auditor Appointments
        18 – New Fund Administrator Appointments
        27 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         2 – Custodian Changes
         2 – 3rd-Party Marketer Changes
         3 – Beneficial Ownership
       257 – ScheduleAB Changes
        14 – SEC-Inactive Advisors
        20 – SEC-Dropped Funds
        28 – Changes in RIC and BDC
        60 – Changes in Public Funds
         3 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        11 – New Fund Custodian Appointments
        12 – 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.