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

MARINER WEALTH ADVISORS

MARINER WEALTH ADVISORS-NYC, LLC, CRD 169459

OVERLAND PARK, 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:62df43bd-0b72-c2a2-3350-6f8f13e21628

Data as of Aug 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2013 to Aug 27, 2017
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $724MItem 5.F on the latest filing (2017-08-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $689M
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: 37
Advisory employees: 10
Accounts: 1,125
Custody, client assets: $3.8M
SEC number: 801-78721
CRD: 169459
Filings on the tape: 14
First filed: Oct 17, 2013
Latest filed: Aug 27, 2017
Organised: Limited Liability Company, Delaware

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
BICKNELL FAMILY HOLDING COMPANY, LLC	Manager	E	yes	04/2008	Jan 7, 2015	Aug 27, 2017
BICKNELL, CHERYL, RENEE	CHIEF COMPLIANCE OFFICER	Na	yes	11/2013	Oct 17, 2013	Aug 27, 2017
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Dec 12, 2013	Aug 27, 2017
CAPLINGER, MARK, ANDREW	CHIEF INVESTMENT OFFICER	Na	yes	12/2016	Mar 29, 2017	Aug 27, 2017
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	09/2008	Dec 12, 2013	Aug 27, 2017
MARINER WEALTH ADVISORS, LLC	MANAGING MEMBER	D	yes	11/2013	Dec 12, 2013	Aug 27, 2017
MCCARTHY, JUSTIN, BLAKE	MANAGING PARTNER	Na	yes	11/2013	Dec 12, 2013	Aug 27, 2017
SANDNES, KAREN, LEIGH	VICE PRESIDENT OF OPERATIONS	Na	no	01/2016	Mar 25, 2016	Aug 27, 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	Y	yes	n/a
PALMER SQUARE CAPITAL MANAGEMENT LLC	n/a	Asset manager	$26B	N	yes	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
PLATFORM INVESTMENTS, LLC	n/a	Asset manager	$1.7B	N	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
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
SILVERWEST HOTELS LLC	n/a	Former SEC adviser	$282M	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
TORTOISE INFRASTRUCTURE PARTNERS, 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
TORTOISE INVESTMENTS PARTNERS, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
TORTOISE SECURITIES, LLC	n/a	n/a	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
NEW YORK	NY	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 29, 2017	$724M	$689M	37	10	n/a	n/a	n/a
2015	Mar 25, 2016	$711M	$612M	35	9	n/a	n/a	n/a
2014	Mar 25, 2015	$676M	$594M	32	12	n/a	n/a	n/a
2013	Mar 21, 2014	$609M	$539M	21	12	n/a	n/a	n/a

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	$724M	$711M	1.8%	$609M	5.9%	37	35	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Mariner	3	Mar 31, 2018	Jun 22, 2021	OVERLAND PARK, KS	Team lift out	Other	25.0%
Mariner	8	Mar 31, 2018	Jun 21, 2021	NEW YORK, NY	Firm absorbed	Other	66.7%

Relationships

Affiliated with (39)

← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, control, 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, control, 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
→ PLATFORM INVESTMENTS, 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, insurance company, LP 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
→ 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
→ SILVERWEST HOTELS 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
→ TORTOISE CLEAN ENERGY PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← 440 INVESTMENT GROUP, LLCRegistered adviserother investment adviser, insurance company, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, common control
factForm ADV
and 9 more

Controls (7)

← MARINER WEALTH ADVISORS, LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Dec 12, 2013 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Dec 12, 2013 to presentfactForm ADV
← BICKNELL, CHERYL, RENEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 17, 2013 to presentfactForm ADV
← MCCARTHY, JUSTIN, BLAKEOwnerMANAGING PARTNER, ownership code NA, individual
Dec 12, 2013 to presentfactForm ADV
← CAPLINGER, MARK, ANDREWOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2017 to presentfactForm ADV
← BICKNELL FAMILY HOLDING COMPANY, LLCOwnerMANAGER, ownership code E, domestic entity
Jan 7, 2015 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Dec 12, 2013 to presentfactForm ADV

Owns (1)

← SANDNES, KAREN, LEIGHOwnerVICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Mar 25, 2016 to presentfactForm ADV

Moved with (1)

→ MARINERRegistered adviser3 advisors, team lift out, same day
Mar 31, 2018 to Jun 22, 2021factForm ADV

Registered with (13)

← MICHAEL AUSTIN MCGINTYAdvisorregistration: previous registration
Sep 9, 2015 to Mar 31, 2018factForm ADV
← ROSARIO JOSEPH RUFFINOAdvisorregistration: previous registration
Jan 28, 2014 to Mar 31, 2018factForm ADV
← RICHARD ALAN ROSENBERGAdvisorregistration: previous registration
Mar 28, 2014 to Mar 31, 2018factForm ADV
← ALICIA ROSE FRYCAdvisorregistration: previous registration
Dec 19, 2017 to Mar 31, 2018factForm ADV
← JUSTIN BLAKE MCCARTHYAdvisorregistration: previous registration
Jan 28, 2014 to Mar 31, 2018factForm ADV
← GEORGE FRANCIS GRECOAdvisorregistration: previous registration
Nov 3, 2016 to Mar 31, 2018factForm ADV
← JASON MONTELEONEAdvisorregistration: previous registration
Jan 28, 2014 to Mar 31, 2018factForm ADV
← ADAM RANDALL KOTZAdvisorregistration: previous registration
Jul 3, 2015 to Mar 31, 2018factForm ADV
← KATHERINE MARY KELLYAdvisorregistration: previous registration
Jan 28, 2014 to Mar 31, 2018factForm ADV
← MATTHEW ROBERT MOETZINGERAdvisorregistration: previous registration
Sep 8, 2015 to Mar 31, 2018factForm ADV
← HASAN CHOWDHURYAdvisorregistration: previous registration
Aug 24, 2015 to Mar 31, 2018factForm ADV
← LAWRENCE PATRICK ROSAAdvisorregistration: previous registration
Oct 31, 2017 to Mar 31, 2018factForm ADV
← ANDREW WESLEY COHENAdvisorregistration: previous registration
Nov 14, 2014 to Apr 1, 2015factForm ADV

Dated events

Occurred
Oct 17, 2013
First Form ADV filing
Rr Mariner, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62df43bd-0b72-c2a2-3350-6f8f13e21628
First observed: Oct 17, 2013
Last observed: Aug 27, 2017 110 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.

MARINER WEALTH ADVISORS

MARINER WEALTH ADVISORS-NYC, LLC, CRD 169459

OVERLAND PARK, 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:62df43bd-0b72-c2a2-3350-6f8f13e21628

Data as of Aug 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:44 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BICKNELL FAMILY HOLDING COMPANY, LLC

Manager

yes

04/2008

Jan 7, 2015

Aug 27, 2017

BICKNELL, CHERYL, RENEE

CHIEF COMPLIANCE OFFICER

yes

11/2013

Oct 17, 2013

Aug 27, 2017

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Dec 12, 2013

Aug 27, 2017

CAPLINGER, MARK, ANDREW

CHIEF INVESTMENT OFFICER

yes

12/2016

Mar 29, 2017

Aug 27, 2017

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

09/2008

Dec 12, 2013

Aug 27, 2017

MARINER WEALTH ADVISORS, LLC

MANAGING MEMBER

yes

11/2013

Dec 12, 2013

Aug 27, 2017

MCCARTHY, JUSTIN, BLAKE

MANAGING PARTNER

yes

11/2013

Dec 12, 2013

Aug 27, 2017

SANDNES, KAREN, LEIGH

VICE PRESIDENT OF OPERATIONS

01/2016

Mar 25, 2016

Aug 27, 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

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

PLATFORM INVESTMENTS, 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

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

SILVERWEST HOTELS LLC

n/a

Former SEC adviser

$282M

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

TORTOISE INFRASTRUCTURE PARTNERS, 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

TORTOISE INVESTMENTS PARTNERS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

TORTOISE SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$724M

$689M

n/a

2015

Mar 25, 2016

$711M

$612M

n/a

2014

Mar 25, 2015

$676M

$594M

n/a

2013

Mar 21, 2014

$609M

$539M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$724M

$711M

1.8%

$609M

5.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Mar 31, 2018

Jun 22, 2021

OVERLAND PARK, KS

Team lift out

Other

25.0%

Mariner

Mar 31, 2018

Jun 21, 2021

NEW YORK, NY

Firm absorbed

Other

66.7%