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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MARINER RETIREMENT ADVISORS, LLC

CRD 172372

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:7c93d0f3-0c77-fa7a-3179-c8bf9a60e478

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 56
Dated events: 2
On other graphs: 1
Observed: Sep 8, 2014 to Mar 29, 2018
12 observations

Across DFX

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

Allocatorsidentity

Mariner Retirement Advisors, LLC

Investment consultant · 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: $1.7BItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $577M
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: 13
Advisory employees: 9
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 196
Individual clients: 0
High net worth clients: 0
SEC number: 801-80336
CRD: 172372
Filings on the tape: 12
First filed: Sep 8, 2014
Latest filed: Mar 29, 2018
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 27, 2015	Mar 29, 2018
BICKNELL, CHERYL	CHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER	Na	yes	09/2013	Sep 8, 2014	Mar 29, 2018
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY	F	yes	07/2007	Oct 6, 2014	Mar 29, 2018
MARINER HOLDINGS, LLC	MANAGING MEMBER	D	yes	09/2014	Sep 13, 2014	Mar 29, 2018
SCOTT, KATRINA, DELORES	CHIEF INVESTMENT OFFICER	Na	yes	01/2018	Mar 29, 2018	Mar 29, 2018
STOFER, DAVID, KENT	President	C	yes	10/2014	Oct 6, 2014	Mar 29, 2018
NOTHNAGEL, MARK, LOUIS	SENIOR VICE PRESIDENT	A	no	10/2014	Mar 17, 2016	Mar 29, 2018
TAYLOR, ANNIE	CHIEF COMPLIANCE OFFICER	Na	no	03/2018	Mar 23, 2017	Mar 29, 2018

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, 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
MARINER WEALTH ADVISORS-CINCINNATI, 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
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-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
KUMMER FINANCIAL STRATEGIES, LLC	n/a	Former SEC adviser	$279M	N	yes	n/a
ALEGRIA ENERGY, LLC	n/a	Former SEC adviser	$177M	N	yes	n/a
FLYOVER CAPITAL PARTNERS, LLC	n/a	Asset manager	$148M	N	yes	n/a
MARINER WEALTH ADVISORS-IC, LLC	n/a	No RAUM reported	$0	N	yes	n/a
ENTERPRISE RISK STRATEGIES, LLC	n/a	n/a	n/a	N	yes	n/a
MARINER CONSULTING-OKLAHOMA, 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

Offices

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

City	State	Country	Employees	Also broker-dealer
Omaha	Ne	United States	1	yes
Tulsa	Ok	United States	1	yes

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
2017	Mar 29, 2018	$1.7B	$577M	13	9	2	n/a	n/a
2016	Mar 23, 2017	$1.3B	$421M	10	7	n/a	n/a	n/a
2015	Mar 17, 2016	$1.2B	$362M	11	7	n/a	n/a	n/a
2014	Jan 27, 2015	$946M	$105M	9	6	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
2017	$1.7B	$1.3B	34.4%	$946M	21.7%	13	10	2	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	7	Jul 3, 2018	Jun 29, 2018	LEAWOOD, KS	Firm absorbed	Other	87.5%

Relationships

Affiliated with (37)

← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← ASCENT INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINERRegistered adviserother investment adviser, insurance company, 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
→ PALMER SQUARE CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, 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, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered 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
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ ALEGRIA ENERGY, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MARINER WEALTHRegistered adviserother investment adviser, common control
factForm ADV
→ KUMMER FINANCIAL STRATEGIES, LLCRegistered adviserother investment adviser, 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 INSTITUTIONAL CONSULTING, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← KUMMER FINANCIAL STRATEGIES, LLCRegistered adviserother investment adviser, 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 WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← 440 INVESTMENT GROUP, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← SILVERWEST HOTELS LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
and 7 more

Controls (6)

← SCOTT, KATRINA, DELORESOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← STOFER, DAVID, KENTOwnerPRESIDENT, ownership code C, individual
Oct 6, 2014 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY, ownership code F, individual
Oct 6, 2014 to presentfactForm ADV
← BICKNELL, CHERYLOwnerCHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER, ownership code NA, individual
Sep 8, 2014 to presentfactForm ADV
← BICKNELL FAMILY HOLDING COMPANY, LLCOwnerMANAGER, ownership code E, domestic entity
Jan 27, 2015 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Sep 13, 2014 to presentfactForm ADV

Owns (2)

← NOTHNAGEL, MARK, LOUISOwnerSENIOR VICE PRESIDENT, ownership code A, individual
Mar 17, 2016 to presentfactForm ADV
← TAYLOR, ANNIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2017 to presentfactForm ADV

Registered with (10)

← DAVID KENT STOFERAdvisorregistration: previous registration
Oct 8, 2014 to Jul 3, 2018factForm ADV
← ANGELYN ROSSONAdvisorregistration: previous registration
Dec 11, 2015 to Jul 3, 2018factForm ADV
← TIMOTHY SHEPARD DUNCANAdvisorregistration: previous registration
Oct 21, 2014 to Jul 3, 2018factForm ADV
← MARK LOUIS NOTHNAGELAdvisorregistration: previous registration
Feb 4, 2017 to Jul 3, 2018factForm ADV
← THOMAS CHARLES HARDYAdvisorregistration: previous registration
Nov 1, 2017 to Jul 3, 2018factForm ADV
← SCOTT AUSTIN EGGERSAdvisorregistration: previous registration
Sep 11, 2017 to Jul 3, 2018factForm ADV
← Tami Lynn LedgerAdvisorregistration: previous registration
Dec 9, 2014 to Jul 3, 2018factForm ADV
← JOHN AYLWARD FLETCHERAdvisorregistration: previous registration
Jun 15, 2017 to Jul 3, 2018factForm ADV
← LUKE N EIDEAdvisorregistration: previous registration
Oct 21, 2014 to Nov 16, 2015factForm ADV
← JUDY I GUTIERREZAdvisorregistration: previous registration
Oct 17, 2014 to Aug 28, 2015factForm ADV

Moved with (1)

→ MARINERRegistered adviser7 advisors, firm absorbed, same day
Jul 3, 2018 to Jun 29, 2018factForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Mariner Retirement Advisors, Llc reported RAUM $1.7B, up 34% from $1.3B (2017-03-23 to 2018-03-29)
Form ADVobserved 4 days ago
$437M
Occurred
Sep 8, 2014
First Form ADV filing
Mariner Retirement Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c93d0f3-0c77-fa7a-3179-c8bf9a60e478
First observed: Sep 8, 2014
Last observed: Mar 29, 2018 103 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 RETIREMENT ADVISORS, LLC

CRD 172372

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:7c93d0f3-0c77-fa7a-3179-c8bf9a60e478

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:48 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 27, 2015

Mar 29, 2018

BICKNELL, CHERYL

CHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER

yes

09/2013

Sep 8, 2014

Mar 29, 2018

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER OF BICKNELL FAMILY HOLDING COMPANY

yes

07/2007

Oct 6, 2014

Mar 29, 2018

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

09/2014

Sep 13, 2014

Mar 29, 2018

SCOTT, KATRINA, DELORES

CHIEF INVESTMENT OFFICER

yes

01/2018

Mar 29, 2018

STOFER, DAVID, KENT

President

yes

10/2014

Oct 6, 2014

Mar 29, 2018

NOTHNAGEL, MARK, LOUIS

SENIOR VICE PRESIDENT

10/2014

Mar 17, 2016

Mar 29, 2018

TAYLOR, ANNIE

CHIEF COMPLIANCE OFFICER

03/2018

Mar 23, 2017

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MARINER, LLC

n/a

Bd affiliated wealth

$125B

yes

n/a

PALMER SQUARE CAPITAL MANAGEMENT LLC

n/a

Asset manager

$26B

yes

n/a

MARINER WEALTH ADVISORS-CINCINNATI, 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

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-ST. LOUIS, LLC

n/a

Former SEC adviser

$615M

yes

n/a

CONVERGENCE INVESTMENT PARTNERS, LLC

n/a

Mixed wealth

$524M

yes

n/a

KUMMER FINANCIAL STRATEGIES, LLC

n/a

Former SEC adviser

$279M

yes

n/a

ALEGRIA ENERGY, LLC

n/a

Former SEC adviser

$177M

yes

n/a

FLYOVER CAPITAL PARTNERS, LLC

n/a

Asset manager

$148M

yes

n/a

MARINER WEALTH ADVISORS-IC, LLC

n/a

No RAUM reported

yes

n/a

ENTERPRISE RISK STRATEGIES, LLC

n/a

yes

n/a

MARINER CONSULTING-OKLAHOMA, 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

City

State

Country

Employees

Also broker-dealer

Omaha

United States

yes

Tulsa

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$1.7B

$577M

n/a

2016

Mar 23, 2017

$1.3B

$421M

n/a

2015

Mar 17, 2016

$1.2B

$362M

n/a

2014

Jan 27, 2015

$946M

$105M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.7B

$1.3B

34.4%

$946M

21.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Jul 3, 2018

Jun 29, 2018

LEAWOOD, KS

Firm absorbed

Other

87.5%