Archives
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
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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
.
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
.
Convergence Annual 2018 Operational Due Diligence Survey
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
.
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
.
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
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