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

MARINER WEALTH ADVISORS

MARINER WEALTH ADVISORS-OMAHA, LLC, CRD 109904

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:845b7603-9d34-344d-b736-793323e41fcd

Data as of Sep 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 71
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Sep 29, 2017
13 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: $416MItem 5.F on the latest filing (2017-09-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $416M
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: 8
Accounts: 993
SEC number: 801-60238
CRD: 109904
Filings on the tape: 13
First filed: Mar 29, 2012
Latest filed: Sep 29, 2017
Organised: Limited Liability Company, Nebraska

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 CO., LLC	Manager	E	yes	04/2008	Jul 20, 2012	Sep 29, 2017
BICKNELL, CHERYL, RENEE	CHIEF COMPLIANCE OFFICER	Na	yes	07/2012	Jul 20, 2012	Sep 29, 2017
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Jul 20, 2012	Sep 29, 2017
CAPLINGER, MARK, ANDREW	CHIEF INVESTMENT OFFICER	Na	yes	09/2014	Sep 18, 2015	Sep 29, 2017
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	09/2008	Jul 20, 2012	Sep 29, 2017
MARINER WEALTH ADVISORS, LLC	MANAGING MEMBER	E	yes	07/2012	Jul 20, 2012	Sep 29, 2017
SIEMONSMA, JAMES, PAUL	MANAGING PARTNER	A	yes	10/2017	Sep 29, 2017	Sep 29, 2017
TUCKER REVOCABLE TRUST U/T/A DATED DECEMBER 28, 2012	Member	B	yes	01/2014	Sep 18, 2015	Sep 29, 2017
TUCKER, DANIEL, ALLEN	MANAGING PARTNER	Na	yes	01/2007	Mar 29, 2012	Sep 29, 2017
TUCKER, DANIEL, ALLEN	CO-TRUSTEE	E	yes	12/2012	Mar 29, 2012	Sep 29, 2017
TUCKER, NANCY	CO-TRUSTEE	E	yes	12/2012	Sep 18, 2015	Sep 29, 2017
SANDNES, KAREN, LEIGH	VICE PRESIDENT OF OPERATIONS	Na	no	07/2012	Jun 20, 2013	Sep 29, 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
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
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-CHICAGO, LLC	n/a	Former SEC adviser	$285M	N	yes	n/a
MARINER WEALTH ADVISORS-ROCKY MOUNTAIN, LLC	n/a	Former SEC adviser	$279M	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
MARINER WEALTH ADVISORS-IC, LLC	n/a	No RAUM reported	$0	N	yes	n/a
MARINER WEALTH ADVISORS-SAN DIEGO, LLC	n/a	Former SEC adviser	$0	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
Omaha	Ne	United States	n/a	no
Omaha	Ne	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	$416M	$416M	9	7	n/a	n/a	n/a
2015	Mar 25, 2016	$422M	$422M	11	9	n/a	n/a	n/a
2014	Mar 30, 2015	$455M	$455M	10	6	n/a	n/a	n/a
2013	Mar 26, 2014	$455M	$455M	10	4	n/a	n/a	n/a
2012	Mar 28, 2013	$444M	$444M	10	4	n/a	n/a	n/a
2011	Mar 29, 2012	$298M	$297M	n/a	n/a	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	$416M	$422M	-1.3%	$455M	-3.0%	13	11	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	Oct 16, 2017	OMAHA, NE	Firm absorbed	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AVANTAX PLANNING PARTNERS, INC.	2	Oct 13, 2017	Oct 16, 2017	OMAHA, NE	Team lift out	Other	2.1%

Relationships

Affiliated with (42)

→ 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
→ 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, 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
→ 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
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTHRegistered adviserother investment adviser, common control
factForm ADV
→ KUMMER FINANCIAL STRATEGIES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
and 12 more

Controls (10)

← MARINER WEALTH ADVISORS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jul 20, 2012 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Jul 20, 2012 to presentfactForm ADV
← TUCKER, DANIEL, ALLENOwnerCO-TRUSTEE, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← SIEMONSMA, JAMES, PAULOwnerMANAGING PARTNER, ownership code A, individual
Sep 29, 2017 to presentfactForm ADV
← BICKNELL, CHERYL, RENEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 20, 2012 to presentfactForm ADV
← CAPLINGER, MARK, ANDREWOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 18, 2015 to presentfactForm ADV
← TUCKER, NANCYOwnerCO-TRUSTEE, ownership code E, individual
Sep 18, 2015 to presentfactForm ADV
← BICKNELL FAMILY HOLDING CO., LLCOwnerMANAGER, ownership code E, domestic entity
Jul 20, 2012 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jul 20, 2012 to presentfactForm ADV
← TUCKER REVOCABLE TRUST U/T/A DATED DECEMBER 28, 2012OwnerMEMBER, ownership code B, domestic entity
Sep 18, 2015 to presentfactForm ADV

Owns (1)

← SANDNES, KAREN, LEIGHOwnerVICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Jun 20, 2013 to presentfactForm ADV

Registered with (15)

← DANIEL ALLEN TUCKERAdvisorregistration: previous registration
Aug 24, 2000 to Mar 31, 2018factForm ADV
← JAMES PAUL SIEMONSMAAdvisorregistration: previous registration
Oct 16, 2017 to Mar 31, 2018factForm ADV
← EDWARD JOSEPH MEEKINSAdvisorregistration: previous registration
Oct 16, 2017 to Mar 31, 2018factForm ADV
← TRAVIS JAMES PORTWOODAdvisorregistration: previous registration
Dec 11, 2013 to Jan 11, 2018factForm ADV
← RANDAL RAY KORTHAdvisorregistration: previous registration
Mar 26, 2010 to Jan 11, 2018factForm ADV
← PAMELA JEAN KORTHAdvisorregistration: previous registration
Nov 20, 2015 to Jan 11, 2018factForm ADV
← David C SwanAdvisorregistration: previous registration
Sep 8, 2014 to Mar 21, 2016factForm ADV
← STACIE A NEUSSENDORFERAdvisorregistration: previous registration
Aug 1, 2008 to Nov 25, 2013factForm ADV
← DENNIS GERARD PEATROWSKYAdvisorregistration: previous registration
Dec 10, 2001 to Jul 9, 2012factForm ADV
← ANTHONY DANIELAdvisorregistration: previous registration
May 22, 2008 to Oct 1, 2010factForm ADV
← JAMIE ANDERSENAdvisorregistration: previous registration
Nov 26, 2008 to Sep 22, 2010factForm ADV
← DAVID CHARLES MEYERAdvisorregistration: previous registration
Jun 29, 2001 to Jun 17, 2010factForm ADV
← DOUGLAS DALE GILBERTAdvisorregistration: previous registration
Apr 25, 2006 to Jun 4, 2008factForm ADV
← PRICE CLAYTON RIVERSAdvisorregistration: previous registration
Apr 12, 2007 to Aug 22, 2007factForm ADV
← KEN JAMES KOUBSKYAdvisorregistration: previous registration
Feb 18, 2003 to Jun 21, 2007factForm ADV

Moved with (2)

→ MARINERRegistered adviser3 advisors, firm absorbed, same day
Mar 31, 2018 to Oct 16, 2017factForm ADV
← AVANTAX PLANNING PARTNERS, INC.Registered adviser2 advisors, team lift out, same day
Oct 13, 2017 to Oct 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:845b7603-9d34-344d-b736-793323e41fcd
First observed: Mar 29, 2012
Last observed: Sep 29, 2017 109 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-OMAHA, LLC, CRD 109904

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:845b7603-9d34-344d-b736-793323e41fcd

Data as of Sep 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BICKNELL FAMILY HOLDING CO., LLC

Manager

yes

04/2008

Jul 20, 2012

Sep 29, 2017

BICKNELL, CHERYL, RENEE

CHIEF COMPLIANCE OFFICER

yes

07/2012

Jul 20, 2012

Sep 29, 2017

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Jul 20, 2012

Sep 29, 2017

CAPLINGER, MARK, ANDREW

CHIEF INVESTMENT OFFICER

yes

09/2014

Sep 18, 2015

Sep 29, 2017

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

09/2008

Jul 20, 2012

Sep 29, 2017

MARINER WEALTH ADVISORS, LLC

MANAGING MEMBER

yes

07/2012

Jul 20, 2012

Sep 29, 2017

SIEMONSMA, JAMES, PAUL

MANAGING PARTNER

yes

10/2017

Sep 29, 2017

TUCKER REVOCABLE TRUST U/T/A DATED DECEMBER 28, 2012

Member

yes

01/2014

Sep 18, 2015

Sep 29, 2017

TUCKER, DANIEL, ALLEN

MANAGING PARTNER

yes

01/2007

Mar 29, 2012

Sep 29, 2017

TUCKER, DANIEL, ALLEN

CO-TRUSTEE

yes

12/2012

Mar 29, 2012

Sep 29, 2017

TUCKER, NANCY

CO-TRUSTEE

yes

12/2012

Sep 18, 2015

Sep 29, 2017

SANDNES, KAREN, LEIGH

VICE PRESIDENT OF OPERATIONS

07/2012

Jun 20, 2013

Sep 29, 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

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-CHICAGO, LLC

n/a

Former SEC adviser

$285M

yes

n/a

MARINER WEALTH ADVISORS-ROCKY MOUNTAIN, LLC

n/a

Former SEC adviser

$279M

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

MARINER WEALTH ADVISORS-IC, LLC

n/a

No RAUM reported

yes

n/a

MARINER WEALTH ADVISORS-SAN DIEGO, LLC

n/a

Former SEC adviser

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

Omaha

United States

n/a

Omaha

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$416M

n/a

2015

Mar 25, 2016

$422M

n/a

2014

Mar 30, 2015

$455M

n/a

2013

Mar 26, 2014

$455M

n/a

2012

Mar 28, 2013

$444M

n/a

2011

Mar 29, 2012

$298M

$297M

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

$416M

$422M

-1.3%

$455M

-3.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Mar 31, 2018

Oct 16, 2017

OMAHA, NE

Firm absorbed

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AVANTAX PLANNING PARTNERS, INC.

Oct 13, 2017

Oct 16, 2017

OMAHA, NE

Team lift out

Other

2.1%