Jack Phinney No Comments

11-15-2018 Convergence Daily ADV Filing Changes

11-15-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
        12 – New Private Funds Disclosed
        34 – Headcount Changes
        19 – C-Suite Appointments
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        26 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         1 – Prime Broker Changes
         4 – Beneficial Ownership
       100 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
        15 – SEC-Dropped Funds
         6 – Changes in RIC and BDC
         3 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         5 – 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

11-14-2018 Convergence Daily ADV Filing Changes

11-14-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        21 – New Private Funds Disclosed
        11 – Headcount Changes
        20 – C-Suite Appointments
        20 – New Fund Auditor Appointments
        21 – New Fund Administrator Appointments
        14 – Change in Assets
         1 – Administrator Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
        79 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         1 – SEC-Dropped Funds
        17 – Changes in RIC and BDC
        40 – New Fund Prime Broker Appointments
        58 – New Fund Custodian Appointments
        14 – 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

11-13-2018 Convergence Daily ADV Filing Changes

11-13-2018 Convergence Daily ADV Filing Changes

         1 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        15 – Headcount Changes
        29 – C-Suite Appointments
        44 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
         8 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         5 – 3rd-Party Marketer Changes
        85 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
        23 – SEC-Dropped Funds
         8 – Changes in RIC and BDC
         2 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – 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

11-12-2018 Convergence Daily ADV Filing Changes

11-12-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
         9 – New Private Funds Disclosed
        33 – Headcount Changes
        31 – C-Suite Appointments
         1 – Regulators and Violations
         8 – New Fund Auditor Appointments
         8 – New Fund Administrator Appointments
        20 – Change in Assets
         3 – Administrator Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
       129 – ScheduleAB Changes
         6 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         3 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
         5 – New Fund Prime Broker Appointments
         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

11-09-2018 Convergence Daily ADV Filing Changes

11-09-2018 Convergence Daily ADV Filing Changes

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

11-08-2018 Convergence Daily ADV Filing Changes

11-08-2018 Convergence Daily ADV Filing Changes

         2 – New SEC-Registered Investment Advisors
         6 – New Private Funds Disclosed
        10 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
         8 – Change in Assets
         2 – Administrator Changes
         1 – Prime Broker Changes
        84 – ScheduleAB Changes
         8 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        10 – Changes in RIC and BDC
         3 – Changes in Public Funds
         8 – New Fund Prime Broker Appointments
        10 – 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

11-07-2018 Convergence Daily ADV Filing Changes

11-07-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        15 – New Private Funds Disclosed
        19 – Headcount Changes
        36 – C-Suite Appointments
         1 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        17 – Change in Assets
         3 – Administrator Changes
         1 – Auditor Changes
         2 – Custodian Changes
         1 – Prime Broker Changes
         3 – Beneficial Ownership
        73 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        16 – Changes in RIC and BDC
         6 – New Fund Prime Broker Appointments
        14 – 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

11-06-2018 Convergence Daily ADV Filing Changes

11-06-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        23 – Headcount Changes
        30 – C-Suite Appointments
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        11 – Change in Assets
         5 – Custodian Changes
       104 – ScheduleAB Changes
         3 – SEC-Inactive Advisors
         6 – SEC-Dropped Funds
        40 – Changes in RIC and BDC
         4 – Prime Broker, Custodian, and Marketer Fund Level Changes
         1 – New Fund Prime Broker Appointments
        18 – 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

11-05-2018 Convergence Daily ADV Filing Changes

11-05-2018 Convergence Daily ADV Filing Changes

        11 – New SEC-Registered Investment Advisors
        41 – New Private Funds Disclosed
        31 – Headcount Changes
        37 – C-Suite Appointments
         2 – Regulators and Violations
        41 – New Fund Auditor Appointments
        41 – New Fund Administrator Appointments
        17 – Change in Assets
         1 – Administrator Changes
         1 – Custodian Changes
         2 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
       170 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
         2 – SEC-Dropped Funds
        44 – Changes in RIC and BDC
         1 – Changes in Public Funds
         1 – Prime Broker, Custodian, and Marketer Fund Level Changes
         2 – New Fund Prime Broker Appointments
        36 – New Fund Custodian Appointments
        26 – 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

11-02-2018 Convergence Daily ADV Filing Changes

11-02-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        23 – Headcount Changes
        25 – C-Suite Appointments
         2 – Regulators and Violations
        14 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        12 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         3 – Custodian Changes
        98 – ScheduleAB Changes
        10 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
         4 – SEC-Dropped Funds
        41 – Changes in RIC and BDC
         2 – Changes in Public Funds
        10 – Prime Broker, Custodian, and Marketer Fund Level Changes
         3 – New Fund Prime Broker Appointments
        17 – 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.