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

MARINER WEALTH ADVISORS

VANTAGE INVESTMENT ADVISORS, LLC, CRD 174099

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:b4419f61-f48b-a4f5-3d8a-b8c3bd33a2c8

Data as of Jul 31, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 60
Dated events: 1
On other graphs: 3
Observed: Dec 18, 2014 to Jul 31, 2018
15 observations

Across DFX

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

Allocatorsidentity

Mariner Wealth Advisors

Investment consultant · shared crd

RIA / Wealth Managementidentity

MARINER WEALTH ADVISORS

Registered adviser · shared crd

RIA / Wealth Managementidentity

MARINER WEALTH ADVISORS

Registered adviser · 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: $1.4BItem 5.F on the latest filing (2018-07-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24
Advisory employees: 14
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 7,916
Individual clients: 4,244
High net worth clients: 277
Custody, client assets: $54.5M
SEC number: 801-80790
CRD: 174099
Filings on the tape: 15
First filed: Dec 18, 2014
Latest filed: Jul 31, 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
ART INVESTMENT PARTNERS, LLC	Member	C	yes	12/2014	Jan 12, 2015	Jul 31, 2018
BICKNELL FAMILY HOLDING COMPANY, LLC	Manager	E	yes	04/2008	Dec 18, 2014	Jul 31, 2018
BICKNELL, CHERYL	CHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER	Na	yes	09/2013	Dec 18, 2014	Jul 31, 2018
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	04/2008	Dec 18, 2014	Jul 31, 2018
MARINER WEALTH ADVISORS	MANAGING MEMBER	D	yes	11/2014	Dec 18, 2014	Jul 31, 2018
MARINER WEALTH ADVISORS, LLC	MANAGING MEMBER	E	yes	09/2008	Jul 31, 2018	Jul 31, 2018
THOMAS, ROBERT, ROY	President	Na	yes	12/2014	Jan 12, 2015	Jul 31, 2018
THOMAS, ROBERT, ROY	MANAGING MEMBER	E	yes	11/2009	Jan 12, 2015	Jul 31, 2018
DORIAN, ANNE, JENELLE	CHIEF COMPLIANCE OFFICER	Na	no	01/2018	Mar 29, 2018	Jul 31, 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-CINCINNATI, LLC	n/a	Former SEC adviser	$2.8B	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
NUANCE INVESTMENTS, LLC	n/a	Other adviser	$984M	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	Y	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 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
STATE COLLEGE	Pa	United States	14	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	$1.4B	$1.3B	24	14	2	n/a	n/a
2016	Feb 2, 2017	$1.2B	$1.1B	22	11	n/a	n/a	n/a
2015	Jan 29, 2016	$1.1B	$1.1B	17	11	n/a	n/a	n/a
2014	Mar 26, 2015	$1.1B	$1.1B	14	7	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	$1.4B	$1.2B	17.0%	$1.1B	7.2%	24	22	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	2	Oct 11, 2018	Mar 13, 2018	OVERLAND PARK, KS	Team lift out	RIA to RIA	20.0%
Mariner	8	Oct 11, 2018	Mar 15, 2018	STATE COLLEGE, PA	Firm absorbed	RIA to RIA	80.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MONTAGE INVESTMENTS, LLC	2	Nov 15, 2016	Nov 30, 2016	LEAWOOD, KS	Channel change	Other	16.7%
VANTAGE INVESTMENT ADVISORS, LLC	5	Mar 30, 2015	Mar 30, 2015	STATE COLLEGE, PA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (35)

→ 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, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ FLYOVER CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ ALEGRIA ENERGY, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MARINER WEALTHRegistered adviserother investment adviser, control, 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
← 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
← SILVERWEST HOTELS LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← REALTYCLUB INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← GIRALDA ADVISORS, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MONTAGE INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV
and 5 more

Controls (6)

← MARINER WEALTH ADVISORSOwnerMANAGING MEMBER, ownership code D, domestic entity
Dec 18, 2014 to presentfactForm ADV
← THOMAS, ROBERT, ROYOwnerMANAGING MEMBER, ownership code E, individual
Jan 12, 2015 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Dec 18, 2014 to presentfactForm ADV
← BICKNELL, CHERYLOwnerCHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER, ownership code NA, individual
Dec 18, 2014 to presentfactForm ADV
← ART INVESTMENT PARTNERS, LLCOwnerMEMBER, ownership code C, domestic entity
Jan 12, 2015 to presentfactForm ADV
← BICKNELL FAMILY HOLDING COMPANY, LLCOwnerMANAGER, ownership code E, domestic entity
Dec 18, 2014 to presentfactForm ADV

Owns (1)

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

Registered with (12)

← ROBERT ROY THOMASAdvisorregistration: previous registration
Mar 30, 2015 to Oct 11, 2018factForm ADV
← JILL WAINE SUTTAdvisorregistration: previous registration
Mar 30, 2015 to Oct 11, 2018factForm ADV
← TIMOTHY ROBERT MARSHALLAdvisorregistration: previous registration
Aug 15, 2016 to Oct 11, 2018factForm ADV
← BRET HARMON HOAGAdvisorregistration: previous registration
Mar 30, 2015 to Oct 11, 2018factForm ADV
← REBECCA MARIE HANEYAdvisorregistration: previous registration
Sep 14, 2015 to Oct 11, 2018factForm ADV
← CASEY MICHAEL HAUSERAdvisorregistration: previous registration
Nov 30, 2016 to Oct 11, 2018factForm ADV
← TIMOTHY GEORGE BRUCKERAdvisorregistration: previous registration
Mar 30, 2015 to Oct 11, 2018factForm ADV
← RONALD BRUCE BEYERAdvisorregistration: previous registration
Mar 30, 2015 to Oct 11, 2018factForm ADV
← MARTHA ANN WILESAdvisorregistration: previous registration
Nov 15, 2016 to Oct 11, 2018factForm ADV
← Clinton Shane ImesAdvisorregistration: previous registration
Apr 5, 2017 to Oct 11, 2018factForm ADV
← Bryan Hugh PepperAdvisorregistration: previous registration
May 26, 2017 to Aug 14, 2017factForm ADV
← GERHART KEITH KLOIBERAdvisorregistration: previous registration
Jul 9, 2015 to Apr 25, 2017factForm ADV

Moved with (3)

→ MARINERRegistered adviser8 advisors, firm absorbed, same day
Oct 11, 2018 to Mar 15, 2018factForm ADV
← MONTAGE INVESTMENTS, LLCRegistered adviser2 advisors, team lift out, same day
Nov 15, 2016 to Nov 30, 2016factForm ADV
← VANTAGE INVESTMENT ADVISORS, LLCRegistered adviser5 advisors, firm absorbed, same day
Mar 30, 2015 to Mar 30, 2015factForm ADV

Dated events

Occurred
Dec 18, 2014
First Form ADV filing
Mwa - Vic, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4419f61-f48b-a4f5-3d8a-b8c3bd33a2c8
First observed: Dec 18, 2014
Last observed: Jul 31, 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

VANTAGE INVESTMENT ADVISORS, LLC, CRD 174099

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:b4419f61-f48b-a4f5-3d8a-b8c3bd33a2c8

Data as of Jul 31, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ART INVESTMENT PARTNERS, LLC

Member

yes

12/2014

Jan 12, 2015

Jul 31, 2018

BICKNELL FAMILY HOLDING COMPANY, LLC

Manager

yes

04/2008

Dec 18, 2014

Jul 31, 2018

BICKNELL, CHERYL

CHIEF OPERATING OFFICER, CHIEF STRATEGY OFFICER

yes

09/2013

Dec 18, 2014

Jul 31, 2018

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

04/2008

Dec 18, 2014

Jul 31, 2018

MARINER WEALTH ADVISORS

MANAGING MEMBER

yes

11/2014

Dec 18, 2014

Jul 31, 2018

MARINER WEALTH ADVISORS, LLC

MANAGING MEMBER

yes

09/2008

Jul 31, 2018

THOMAS, ROBERT, ROY

President

yes

12/2014

Jan 12, 2015

Jul 31, 2018

THOMAS, ROBERT, ROY

MANAGING MEMBER

yes

11/2009

Jan 12, 2015

Jul 31, 2018

DORIAN, ANNE, JENELLE

CHIEF COMPLIANCE OFFICER

01/2018

Mar 29, 2018

Jul 31, 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-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

NUANCE INVESTMENTS, LLC

n/a

Other adviser

$984M

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 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

STATE COLLEGE

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$1.4B

$1.3B

n/a

2016

Feb 2, 2017

$1.2B

$1.1B

n/a

2015

Jan 29, 2016

$1.1B

n/a

2014

Mar 26, 2015

$1.1B

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

$1.4B

$1.2B

17.0%

$1.1B

7.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Oct 11, 2018

Mar 13, 2018

OVERLAND PARK, KS

Team lift out

RIA to RIA

20.0%

Mariner

Oct 11, 2018

Mar 15, 2018

STATE COLLEGE, PA

Firm absorbed

RIA to RIA

80.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MONTAGE INVESTMENTS, LLC

Nov 15, 2016

Nov 30, 2016

LEAWOOD, KS

Channel change

Other

16.7%

VANTAGE INVESTMENT ADVISORS, LLC

Mar 30, 2015

STATE COLLEGE, PA

Firm absorbed

Other

100.0%