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

MARINER WEALTH ADVISORS

MARINER WEALTH ADVISORS-CINCINNATI, LLC, CRD 165759

CINCINNATI, OH

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:9b99ddc9-5544-ca35-0b1c-4d865ea56cbb

Data as of Jul 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 68
Dated events: 1
On other graphs: 1
Observed: Oct 8, 2012 to Jul 23, 2018
28 observations

Across DFX

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

Allocatorsidentity

Mariner Wealth Advisors

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: $2.8BItem 5.F on the latest filing (2018-07-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.8B
Private client RAUM: $2.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees: 23
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 3,402
Individual clients: 403
High net worth clients: 647
Custody, client assets: $387M
SEC number: 801-77253
CRD: 165759
Filings on the tape: 28
First filed: Oct 8, 2012
Latest filed: Jul 23, 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 CO., LLC	Manager	E	yes	02/2015	Nov 26, 2012	Jul 23, 2018
BICKNELL, CHERYL	CHIEF OPERATING OFFICER/ CHIEF STRATEGY OFFICER	Na	yes	09/2013	Oct 8, 2012	Jul 23, 2018
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Nov 26, 2012	Jul 23, 2018
KRUMPELMAN, JOHN, JEFFREY	CHIEF INVESTMENT STRATEGIST	Na	yes	07/2016	Nov 16, 2016	Jul 23, 2018
LOEWENSTINE, LEON, HENRY	Principal	Na	yes	10/2012	Oct 8, 2012	Jul 23, 2018
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	09/2008	Nov 26, 2012	Jul 23, 2018
MARINER WEALTH ADVISORS	MANAGING MEMBER	E	yes	10/2012	Nov 26, 2012	Jul 23, 2018
NEWELL, VALERIE, LUCILLE	Principal	Na	yes	10/2012	Oct 8, 2012	Jul 23, 2018
DORIAN, ANNE, JENELLE	CHIEF COMPLIANCE OFFICER	Na	no	03/2018	Mar 29, 2018	Jul 23, 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	Y	yes	n/a
PALMER SQUARE CAPITAL MANAGEMENT LLC	n/a	Asset manager	$26B	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
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
MSEC, 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
Cincinnati	Oh	United States	10	no
Indianapolis	In	United States	3	no
OVERLAND PARK	Ks	United States	1	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
2017	Mar 29, 2018	$2.8B	$2.8B	37	23	3	n/a	n/a
2016	Mar 24, 2017	$2.3B	$2.3B	35	23	n/a	n/a	n/a
2015	Mar 2, 2016	$2.1B	$2.1B	32	22	n/a	n/a	n/a
2014	Mar 27, 2015	$1.9B	$1.9B	28	17	n/a	n/a	n/a
2013	Mar 21, 2014	$1.6B	$1.6B	20	11	n/a	n/a	n/a
2012	Mar 27, 2013	$1.4B	$1.4B	18	8	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	$2.8B	$2.3B	23.8%	$1.9B	13.2%	37	35	3	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	2	Nov 26, 2018	Feb 26, 2018	INDIANAPOLIS, IN	Team lift out	RIA to RIA	13.3%
Mariner	13	Nov 26, 2018	Feb 26, 2018	CINCINNATI, OH	Firm absorbed	RIA to RIA	86.7%

Relationships

Affiliated with (40)

← 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
→ MARINERRegistered adviserother investment adviser, insurance company, 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
→ PALMER SQUARE CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle 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 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
→ 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
← 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
← 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
← 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, control, 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
and 10 more

Controls (8)

← MARINER WEALTH ADVISORSOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 26, 2012 to presentfactForm ADV
← LOEWENSTINE, LEON, HENRYOwnerPRINCIPAL, ownership code NA, individual
Oct 8, 2012 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Nov 26, 2012 to presentfactForm ADV
← NEWELL, VALERIE, LUCILLEOwnerPRINCIPAL, ownership code NA, individual
Oct 8, 2012 to presentfactForm ADV
← KRUMPELMAN, JOHN, JEFFREYOwnerCHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Nov 16, 2016 to presentfactForm ADV
← BICKNELL, CHERYLOwnerCHIEF OPERATING OFFICER/ CHIEF STRATEGY OFFICER, ownership code NA, individual
Oct 8, 2012 to presentfactForm ADV
← BICKNELL FAMILY HOLDING CO., LLCOwnerMANAGER, ownership code E, domestic entity
Nov 26, 2012 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 26, 2012 to presentfactForm ADV

Owns (1)

← DORIAN, ANNE, JENELLEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV

Registered with (17)

← LEON HENRY LOEWENSTINEAdvisorregistration: previous registration
Feb 25, 2013 to Nov 26, 2018factForm ADV
← MELINDA MCLAUGHLIN-HINAMANAdvisorregistration: previous registration
Apr 27, 2015 to Nov 26, 2018factForm ADV
← VALERIE LUCILLE NEWELLAdvisorregistration: previous registration
Jan 2, 2013 to Nov 26, 2018factForm ADV
← RYAN LYNN BROWNAdvisorregistration: previous registration
Jan 4, 2013 to Nov 26, 2018factForm ADV
← JOHN JEFFREY KRUMPELMANAdvisorregistration: previous registration
Sep 4, 2014 to Nov 26, 2018factForm ADV
← BRANDON CARL PHILLIPSAdvisorregistration: previous registration
Aug 28, 2014 to Nov 26, 2018factForm ADV
← MICHAEL PATRICK RICHTERAdvisorregistration: previous registration
Jan 4, 2013 to Nov 26, 2018factForm ADV
← NOLAN D KAMERERAdvisorregistration: previous registration
Feb 26, 2015 to Nov 26, 2018factForm ADV
← MATTHEW JAMES RICEAdvisorregistration: previous registration
May 5, 2016 to Nov 26, 2018factForm ADV
← ANTHONY ROBERTSAdvisorregistration: previous registration
Jan 4, 2013 to Nov 26, 2018factForm ADV
← PAMELA FETTIG THOMPSONAdvisorregistration: previous registration
Jan 4, 2013 to Nov 26, 2018factForm ADV
← KRISTIN ANN FISHBAUGHAdvisorregistration: previous registration
Feb 20, 2015 to Nov 26, 2018factForm ADV
← JONATHON ADAM BRESNENAdvisorregistration: previous registration
Jun 20, 2014 to Nov 26, 2018factForm ADV
← BRAD IAN MORGANAdvisorregistration: previous registration
Dec 22, 2014 to Nov 26, 2018factForm ADV
← Lee Jonathan FeinererAdvisorregistration: previous registration
Oct 16, 2017 to Nov 26, 2018factForm ADV
← LAUREN MICHALOS NIESTRADTAdvisorregistration: previous registration
Feb 2, 2016 to Feb 21, 2018factForm ADV
← ADAM DAVIS MORTONAdvisorregistration: previous registration
Jun 17, 2014 to Mar 10, 2017factForm ADV

Moved with (1)

→ MARINERRegistered adviser2 advisors, team lift out, same day
Nov 26, 2018 to Feb 26, 2018factForm ADV

Dated events

Occurred
Oct 8, 2012
First Form ADV filing
Rpcm, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b99ddc9-5544-ca35-0b1c-4d865ea56cbb
First observed: Oct 8, 2012
Last observed: Jul 23, 2018 99 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-CINCINNATI, LLC, CRD 165759

CINCINNATI, OH

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:9b99ddc9-5544-ca35-0b1c-4d865ea56cbb

Data as of Jul 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:04 PM 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

02/2015

Nov 26, 2012

Jul 23, 2018

BICKNELL, CHERYL

CHIEF OPERATING OFFICER/ CHIEF STRATEGY OFFICER

yes

09/2013

Oct 8, 2012

Jul 23, 2018

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Nov 26, 2012

Jul 23, 2018

KRUMPELMAN, JOHN, JEFFREY

CHIEF INVESTMENT STRATEGIST

yes

07/2016

Nov 16, 2016

Jul 23, 2018

LOEWENSTINE, LEON, HENRY

Principal

yes

10/2012

Oct 8, 2012

Jul 23, 2018

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

09/2008

Nov 26, 2012

Jul 23, 2018

MARINER WEALTH ADVISORS

MANAGING MEMBER

yes

10/2012

Nov 26, 2012

Jul 23, 2018

NEWELL, VALERIE, LUCILLE

Principal

yes

10/2012

Oct 8, 2012

Jul 23, 2018

DORIAN, ANNE, JENELLE

CHIEF COMPLIANCE OFFICER

03/2018

Mar 29, 2018

Jul 23, 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-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

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

MSEC, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Cincinnati

United States

Indianapolis

United States

OVERLAND PARK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$2.8B

n/a

2016

Mar 24, 2017

$2.3B

n/a

2015

Mar 2, 2016

$2.1B

n/a

2014

Mar 27, 2015

$1.9B

n/a

2013

Mar 21, 2014

$1.6B

n/a

2012

Mar 27, 2013

$1.4B

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

$2.8B

$2.3B

23.8%

$1.9B

13.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Nov 26, 2018

Feb 26, 2018

INDIANAPOLIS, IN

Team lift out

RIA to RIA

13.3%

Mariner

Nov 26, 2018

Feb 26, 2018

CINCINNATI, OH

Firm absorbed

RIA to RIA

86.7%