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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SILVERWEST HOTELS LLC

CRD 175360

FAIRWAY, KS

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Search this name across graphsid dfx:ria:10b0d2ca-7d36-2e04-1e3c-1fbcbb8886aa

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 72
Dated events: 1
On other graphs: 1
Observed: Jun 1, 2015 to Mar 30, 2017
4 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

Silverwest Hotels LLC

Real estate fund manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $282MItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $282M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 8
Accounts: 5
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $282Mgross asset value as reported per fund; never fund size
Custody, client assets: $282M
SEC number: 801-100340
CRD: 175360
Filings on the tape: 4
First filed: Jun 1, 2015
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SILVERWEST HOTEL FUND I LLC	Real Estate Fund	$147M	Mar 30, 2017	40	Jun 1, 2015	reported	021-239164
SMG WAIKOLOA PARTNERS LLC	Real Estate Fund	$62.6M	Mar 30, 2017	14	Mar 30, 2016	reported	021-256168
SILVERWEST-I INVERNESS HOLDINGS LLC	Real Estate Fund	$44.4M	Mar 30, 2017	51	Mar 30, 2017	reported	n/a
SILVERWEST HOTEL FEEDER LLC	Real Estate Fund	$20.8M	Mar 30, 2017	1	Mar 30, 2016	reported	021-274972
SILVERWEST HOTEL FUND I-A LLC	Real Estate Fund	$7.7M	Mar 30, 2017	16	Jun 1, 2015	reported	021-239165

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ABTS HOLDINGS, LLC	Member	C	yes	07/2008	Jun 1, 2015	Mar 30, 2017
ANDERSON, RYAN, KIELTY	CO-CHAIRMAN	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
ANDERSON, TERRENCE, DANIEL	CO-CHAIRMAN	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
BICKNELL FAMILY HOLDING COMPANY, LLC	Manager	E	yes	04/2008	Jun 1, 2015	Mar 30, 2017
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Jun 1, 2015	Mar 30, 2017
CSP RESOURCE, LLC	Member	D	yes	08/2013	Jun 1, 2015	Mar 30, 2017
GEF-GP, LP	GENERAL PARTNER	F	yes	11/2007	Jun 1, 2015	Mar 30, 2017
GEF-GP, LP	GENERAL PARTNER	F	yes	11/2007	Jun 1, 2015	Mar 30, 2017
GEF-GP, LP	GENERAL PARTNER	F	yes	02/2008	Jun 1, 2015	Mar 30, 2017
GEF-PUE, LP	Member	C	yes	12/2014	Jun 1, 2015	Mar 30, 2017
GEM GP, LLC	GENERAL PARTNER	F	yes	11/2007	Jun 1, 2015	Mar 30, 2017
GLOBAL ENDOWMENT FUND I, LP	LIMITED PARTNER	C	yes	11/2007	Jun 1, 2015	Mar 30, 2017
GLOBAL ENDOWMENT FUND II, LP	LIMITED PARTNER	D	yes	02/2008	Jun 1, 2015	Mar 30, 2017
GLOBAL ENDOWMENT MANAGEMENT, LP	LIMITED PARTNER	E	yes	11/2007	Jun 1, 2015	Mar 30, 2017
HENDERSON, RYAN, H	Director	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
MACE PACIFIC HOLDING COMPANY, LLC	Member	D	yes	08/2013	Jun 1, 2015	Mar 30, 2017
MACE, EDWARD, E	Ceo	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
MACE, EDWARD, E	Member	E	yes	06/2006	Jun 1, 2015	Mar 30, 2017
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	01/2010	Jun 1, 2015	Mar 30, 2017
MARINER REAL ESTATE MANAGEMENT, LLC	MANAGING MEMBER	C	yes	12/2014	Jun 1, 2015	Mar 30, 2017
MONTAGE INVESTMENTS, LLC	MANAGING MEMBER	D	yes	01/2010	Jun 1, 2015	Mar 30, 2017
MORTON, THRUSTON, BALLARD	Ceo	D	yes	02/2007	Jun 1, 2015	Mar 30, 2017
MORTON, THRUSTON, BALLARD	Member	E	yes	12/2006	Jun 1, 2015	Mar 30, 2017
PECK, CHARLES, S	Coo	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
PECK, CHARLES, S	Member	E	yes	07/2012	Jun 1, 2015	Mar 30, 2017
SILVERWEST HOTEL PARTNERS, LLC	Member	C	yes	12/2014	Jun 1, 2015	Mar 30, 2017
SINER, KYLE	Cfo	Na	yes	12/2014	Jun 1, 2015	Mar 30, 2017
DORIAN, ANNE, JENELLE	CHIEF COMPLIANCE OFFICER	Na	no	12/2014	Jun 1, 2015	Mar 30, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MARINER WEALTH ADVISORS, LLC	n/a	Bd affiliated wealth	$125B	N	yes	n/a
PALMER SQUARE CAPITAL MANAGEMENT LLC	n/a	Asset manager	$26B	N	yes	n/a
GLOBAL ENDOWMENT MANAGEMENT, LP	n/a	Asset manager	$13B	Y	no	n/a
TORTOISE CAPITAL ADVISORS, L.L.C.	n/a	Asset manager	$8.9B	N	yes	n/a
TORTOISE CREDIT STRATEGIES, LLC	n/a	Former SEC adviser	$3.1B	N	yes	n/a
MARINER WEALTH ADVISORS - LEAWOOD, LLC	n/a	Former SEC adviser	$2.8B	N	yes	n/a
RIVERPOINT CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$2.8B	N	yes	n/a
MARINER WEALTH ADVISORS-OKLAHOMA, LLC	n/a	Former SEC adviser	$2.4B	N	yes	n/a
MARINER RETIREMENT ADVISORS, LLC	n/a	Former SEC adviser	$1.7B	N	yes	n/a
MARINER REAL ESTATE MANAGEMENT, LLC	n/a	Asset manager	$1.7B	Y	yes	n/a
VANTAGE INVESTMENT ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
MARINER WEALTH ADVISORS-MANASQUAN, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
ASCENT INVESTMENT PARTNERS, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
MARINER WEALTH ADVISORS-MADISON, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
NUANCE INVESTMENTS, LLC	n/a	Other adviser	$984M	N	yes	n/a
MARINER WEALTH ADVISORS-NYC, LLC	n/a	Former SEC adviser	$724M	N	yes	n/a
TORTOISE INDEX SOLUTIONS, LLC	n/a	Former SEC adviser	$719M	N	yes	n/a
MARINER WEALTH ADVISORS-ST. LOUIS, LLC	n/a	Former SEC adviser	$615M	N	yes	n/a
CONVERGENCE INVESTMENT PARTNERS, LLC	n/a	Mixed wealth	$524M	N	yes	n/a
MARINER WEALTH ADVISORS-OMAHA, LLC	n/a	Former SEC adviser	$416M	N	yes	n/a
MARINER WEALTH ADVISORS-CHICAGO, LLC	n/a	Former SEC adviser	$285M	N	yes	n/a
ALEGRIA ENERGY, LLC	n/a	Former SEC adviser	$177M	N	yes	n/a
440 INVESTMENT GROUP, LLC	n/a	Former SEC adviser	$157M	N	yes	n/a
FLYOVER CAPITAL PARTNERS, LLC	n/a	Asset manager	$148M	N	yes	n/a
REALTYCLUB INVESTMENT ADVISORS LLC	n/a	Former SEC adviser	$20.5M	N	yes	n/a
TORTOISE CLEAN ENERGY PARTNERS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
VARIANT, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
AREA REAL ESTATE ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
ENTERPRISE RISK STRATEGIES, LLC	n/a	n/a	n/a	N	yes	n/a
MARINER CONSULTING, LLC	n/a	n/a	n/a	N	yes	n/a
MARINER INSTITUTIONAL CONSULTING, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
MARINER INSURANCE RESOURCES, LLC	n/a	n/a	n/a	N	yes	n/a
MARINER TRUST COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
MONTAGE SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
SILVERWEST HOTEL PARTNERS LLC	n/a	n/a	n/a	Y	no	n/a
TORTOISE INVESTMENTS PARTNERS, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	n/a	no
OVERLAND PARK	Ks	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017	$282M	$282M	23	8	n/a	5	$282M
2015	Mar 30, 2016	$256M	$256M	19	7	n/a	4	$256M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$282M	$256M	10.1%	n/a	n/a	23	19	n/a	n/a

Relationships

Affiliated with (39)

← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← 440 INVESTMENT GROUP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ TORTOISE CAPITAL ADVISORS, L.L.C.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MARINERRegistered adviserother investment adviser, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ CONVERGENCE INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NUANCE INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ASCENT INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ 440 INVESTMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PALMER SQUARE CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GLOBAL ENDOWMENT MANAGEMENT, LPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ PLATFORM INVESTMENTS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER RETIREMENT ADVISORS, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER INSTITUTIONAL CONSULTING, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ FLYOVER CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ REALTYCLUB INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ TIS ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ TORTOISE CREDIT STRATEGIES, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ALEGRIA ENERGY, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ TORTOISEECOFIN INVESTMENTS PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VARIANT, LLCRegistered adviserother investment adviser, common control
factForm ADV
and 9 more

Advises (5)

→ SMG WAIKOLOA PARTNERS LLCPrivate fundReal Estate Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ SILVERWEST HOTEL FUND I LLCPrivate fundReal Estate Fund, IA
Jun 1, 2015 to presentfactForm ADV
→ SILVERWEST-I INVERNESS HOLDINGS LLCPrivate fundReal Estate Fund, IA
Mar 30, 2017 to presentfactForm ADV
→ SILVERWEST HOTEL FUND I-A LLCPrivate fundReal Estate Fund, IA
Jun 1, 2015 to presentfactForm ADV
→ SILVERWEST HOTEL FEEDER LLCPrivate fundReal Estate Fund, IA
Mar 30, 2016 to presentfactForm ADV

Controls (22)

← MONTAGE INVESTMENTS, LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Jun 1, 2015 to presentfactForm ADV
← MARINER REAL ESTATE MANAGEMENT, LLCOwnerMANAGING MEMBER, ownership code C, domestic entity
Jun 1, 2015 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Jun 1, 2015 to presentfactForm ADV
← MORTON, THRUSTON, BALLARDOwnerMEMBER, ownership code E, individual
Jun 1, 2015 to presentfactForm ADV
← HENDERSON, RYAN, HOwnerDIRECTOR, ownership code NA, individual
Jun 1, 2015 to presentfactForm ADV
← ANDERSON, RYAN, KIELTYOwnerCO-CHAIRMAN, ownership code NA, individual
Jun 1, 2015 to presentfactForm ADV
← ANDERSON, TERRENCE, DANIELOwnerCO-CHAIRMAN, ownership code NA, individual
Jun 1, 2015 to presentfactForm ADV
← MACE, EDWARD, EOwnerMEMBER, ownership code E, individual
Jun 1, 2015 to presentfactForm ADV
← PECK, CHARLES, SOwnerMEMBER, ownership code E, individual
Jun 1, 2015 to presentfactForm ADV
← SINER, KYLEOwnerCFO, ownership code NA, individual
Jun 1, 2015 to presentfactForm ADV
← ABTS HOLDINGS, LLCOwnerMEMBER, ownership code C, domestic entity
Jun 1, 2015 to presentfactForm ADV
← BICKNELL FAMILY HOLDING COMPANY, LLCOwnerMANAGER, ownership code E, domestic entity
Jun 1, 2015 to presentfactForm ADV
← CSP RESOURCE, LLCOwnerMEMBER, ownership code D, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GEF-GP, LPOwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GEF-PUE, LPOwnerMEMBER, ownership code C, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GEM GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GLOBAL ENDOWMENT FUND I, LPOwnerLIMITED PARTNER, ownership code C, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GLOBAL ENDOWMENT FUND II, LPOwnerLIMITED PARTNER, ownership code D, domestic entity
Jun 1, 2015 to presentfactForm ADV
← GLOBAL ENDOWMENT MANAGEMENT, LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Jun 1, 2015 to presentfactForm ADV
← MACE PACIFIC HOLDING COMPANY, LLCOwnerMEMBER, ownership code D, domestic entity
Jun 1, 2015 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 1, 2015 to presentfactForm ADV
← SILVERWEST HOTEL PARTNERS, LLCOwnerMEMBER, ownership code C, domestic entity
Jun 1, 2015 to presentfactForm ADV

Owns (1)

← DORIAN, ANNE, JENELLEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 1, 2015 to presentfactForm ADV

Dated events

Occurred
Jun 1, 2015
First Form ADV filing
Smg Hospitality Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10b0d2ca-7d36-2e04-1e3c-1fbcbb8886aa
First observed: Jun 1, 2015
Last observed: Mar 30, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SILVERWEST HOTELS LLC

CRD 175360

FAIRWAY, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:10b0d2ca-7d36-2e04-1e3c-1fbcbb8886aa

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:35 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SILVERWEST HOTEL FUND I LLC

Real Estate Fund

$147M

Mar 30, 2017

Jun 1, 2015

reported

021-239164

SMG WAIKOLOA PARTNERS LLC

Real Estate Fund

$62.6M

Mar 30, 2017

Mar 30, 2016

reported

021-256168

SILVERWEST-I INVERNESS HOLDINGS LLC

Real Estate Fund

$44.4M

Mar 30, 2017

reported

n/a

SILVERWEST HOTEL FEEDER LLC

Real Estate Fund

$20.8M

Mar 30, 2017

Mar 30, 2016

reported

021-274972

SILVERWEST HOTEL FUND I-A LLC

Real Estate Fund

$7.7M

Mar 30, 2017

Jun 1, 2015

reported

021-239165

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABTS HOLDINGS, LLC

Member

yes

07/2008

Jun 1, 2015

Mar 30, 2017

ANDERSON, RYAN, KIELTY

CO-CHAIRMAN

yes

12/2014

Jun 1, 2015

Mar 30, 2017

ANDERSON, TERRENCE, DANIEL

CO-CHAIRMAN

yes

12/2014

Jun 1, 2015

Mar 30, 2017

BICKNELL FAMILY HOLDING COMPANY, LLC

Manager

yes

04/2008

Jun 1, 2015

Mar 30, 2017

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Jun 1, 2015

Mar 30, 2017

CSP RESOURCE, LLC

Member

yes

08/2013

Jun 1, 2015

Mar 30, 2017

GEF-GP, LP

GENERAL PARTNER

yes

11/2007

Jun 1, 2015

Mar 30, 2017

GEF-GP, LP

GENERAL PARTNER

yes

11/2007

Jun 1, 2015

Mar 30, 2017

GEF-GP, LP

GENERAL PARTNER

yes

02/2008

Jun 1, 2015

Mar 30, 2017

GEF-PUE, LP

Member

yes

12/2014

Jun 1, 2015

Mar 30, 2017

GEM GP, LLC

GENERAL PARTNER

yes

11/2007

Jun 1, 2015

Mar 30, 2017

GLOBAL ENDOWMENT FUND I, LP

LIMITED PARTNER

yes

11/2007

Jun 1, 2015

Mar 30, 2017

GLOBAL ENDOWMENT FUND II, LP

LIMITED PARTNER

yes

02/2008

Jun 1, 2015

Mar 30, 2017

GLOBAL ENDOWMENT MANAGEMENT, LP

LIMITED PARTNER

yes

11/2007

Jun 1, 2015

Mar 30, 2017

HENDERSON, RYAN, H

Director

yes

12/2014

Jun 1, 2015

Mar 30, 2017

MACE PACIFIC HOLDING COMPANY, LLC

Member

yes

08/2013

Jun 1, 2015

Mar 30, 2017

MACE, EDWARD, E

Ceo

yes

12/2014

Jun 1, 2015

Mar 30, 2017

MACE, EDWARD, E

Member

yes

06/2006

Jun 1, 2015

Mar 30, 2017

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

01/2010

Jun 1, 2015

Mar 30, 2017

MARINER REAL ESTATE MANAGEMENT, LLC

MANAGING MEMBER

yes

12/2014

Jun 1, 2015

Mar 30, 2017

MONTAGE INVESTMENTS, LLC

MANAGING MEMBER

yes

01/2010

Jun 1, 2015

Mar 30, 2017

MORTON, THRUSTON, BALLARD

Ceo

yes

02/2007

Jun 1, 2015

Mar 30, 2017

MORTON, THRUSTON, BALLARD

Member

yes

12/2006

Jun 1, 2015

Mar 30, 2017

PECK, CHARLES, S

Coo

yes

12/2014

Jun 1, 2015

Mar 30, 2017

PECK, CHARLES, S

Member

yes

07/2012

Jun 1, 2015

Mar 30, 2017

SILVERWEST HOTEL PARTNERS, LLC

Member

yes

12/2014

Jun 1, 2015

Mar 30, 2017

SINER, KYLE

Cfo

yes

12/2014

Jun 1, 2015

Mar 30, 2017

DORIAN, ANNE, JENELLE

CHIEF COMPLIANCE OFFICER

12/2014

Jun 1, 2015

Mar 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MARINER WEALTH ADVISORS, LLC

n/a

Bd affiliated wealth

$125B

yes

n/a

PALMER SQUARE CAPITAL MANAGEMENT LLC

n/a

Asset manager

$26B

yes

n/a

GLOBAL ENDOWMENT MANAGEMENT, LP

n/a

Asset manager

$13B

n/a

TORTOISE CAPITAL ADVISORS, L.L.C.

n/a

Asset manager

$8.9B

yes

n/a

TORTOISE CREDIT STRATEGIES, LLC

n/a

Former SEC adviser

$3.1B

yes

n/a

MARINER WEALTH ADVISORS - LEAWOOD, LLC

n/a

Former SEC adviser

$2.8B

yes

n/a

RIVERPOINT CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$2.8B

yes

n/a

MARINER WEALTH ADVISORS-OKLAHOMA, LLC

n/a

Former SEC adviser

$2.4B

yes

n/a

MARINER RETIREMENT ADVISORS, LLC

n/a

Former SEC adviser

$1.7B

yes

n/a

MARINER REAL ESTATE MANAGEMENT, LLC

n/a

Asset manager

$1.7B

yes

n/a

VANTAGE INVESTMENT ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

MARINER WEALTH ADVISORS-MANASQUAN, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

ASCENT INVESTMENT PARTNERS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

MARINER WEALTH ADVISORS-MADISON, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

NUANCE INVESTMENTS, LLC

n/a

Other adviser

$984M

yes

n/a

MARINER WEALTH ADVISORS-NYC, LLC

n/a

Former SEC adviser

$724M

yes

n/a

TORTOISE INDEX SOLUTIONS, LLC

n/a

Former SEC adviser

$719M

yes

n/a

MARINER WEALTH ADVISORS-ST. LOUIS, LLC

n/a

Former SEC adviser

$615M

yes

n/a

CONVERGENCE INVESTMENT PARTNERS, LLC

n/a

Mixed wealth

$524M

yes

n/a

MARINER WEALTH ADVISORS-OMAHA, LLC

n/a

Former SEC adviser

$416M

yes

n/a

MARINER WEALTH ADVISORS-CHICAGO, LLC

n/a

Former SEC adviser

$285M

yes

n/a

ALEGRIA ENERGY, LLC

n/a

Former SEC adviser

$177M

yes

n/a

440 INVESTMENT GROUP, LLC

n/a

Former SEC adviser

$157M

yes

n/a

FLYOVER CAPITAL PARTNERS, LLC

n/a

Asset manager

$148M

yes

n/a

REALTYCLUB INVESTMENT ADVISORS LLC

n/a

Former SEC adviser

$20.5M

yes

n/a

TORTOISE CLEAN ENERGY PARTNERS, LLC

n/a

Former SEC adviser

yes

n/a

VARIANT, LLC

n/a

Former SEC adviser

yes

n/a

AREA REAL ESTATE ADVISORS, LLC

n/a

yes

n/a

ENTERPRISE RISK STRATEGIES, LLC

n/a

yes

n/a

MARINER CONSULTING, LLC

n/a

yes

n/a

MARINER INSTITUTIONAL CONSULTING, LLC

n/a

Former SEC adviser

n/a

yes

n/a

MARINER INSURANCE RESOURCES, LLC

n/a

yes

n/a

MARINER TRUST COMPANY, LLC

n/a

yes

n/a

MONTAGE SECURITIES, LLC

n/a

yes

n/a

SILVERWEST HOTEL PARTNERS LLC

n/a

TORTOISE INVESTMENTS PARTNERS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Denver

United States

n/a

OVERLAND PARK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$282M

n/a

$282M

2015

Mar 30, 2016

$256M

n/a

$256M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$282M

$256M

10.1%

n/a