DFX Intelligence

Data Factory

The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

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

MARINER WEALTH ADVISORS

MARINER WEALTH ADVISORS - LEAWOOD, LLC, CRD 170703

OVERLAND PARK, KS

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:cab004ec-368d-6659-e009-542c1070f5e1

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 8:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 87
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2014 to Mar 30, 2017
8 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: $2.8BItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.8B
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: 52
Advisory employees: 35
Accounts: 7,786
SEC number: 801-79490
CRD: 170703
Filings on the tape: 8
First filed: Mar 26, 2014
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, Kansas

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	Mar 26, 2014	Mar 30, 2017
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Mar 26, 2014	Mar 30, 2017
BICKNELL, MARTIN, CHRISTOPHER	CHIEF EXECUTIVE OFFICER	NA	yes	02/2014	Mar 26, 2014	Mar 30, 2017
CAPLINGER, MARK, ANDREW	CHIEF INVESTMENT OFFICER	NA	yes	09/2014	Mar 26, 2015	Mar 30, 2017
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	09/2008	Mar 26, 2014	Mar 30, 2017
MARINER WEALTH ADVISORS, LLC	MANAGING MEMBER	E	yes	02/2014	Mar 26, 2014	Mar 30, 2017
SANDNES, KAREN, LEIGH	VICE PRESIDENT OF OPERATIONS	NA	yes	02/2014	Mar 26, 2014	Mar 30, 2017
VOHLAND, CHERYL, RENEE	CHIEF COMPLIANCE OFFICER	NA	yes	02/2014	Mar 26, 2014	Mar 30, 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
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
MARINER REAL ESTATE MANAGEMENT, 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-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
REALTYCLUB INVESTMENT ADVISORS LLC	n/a	FORMER SEC ADVISER	$20.5M	N	yes	n/a
TORTOISE CLEAN ENERGY PARTNERS, LLC	n/a	FORMER SEC ADVISER	$0	N	yes	n/a
VARIANT, 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

Offices

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

City	State	Country	Employees	Also broker-dealer
LEAWOOD	KS	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	$2.8B	$2.8B	52	35	n/a	n/a	n/a
2015	Mar 30, 2016	$2.8B	$2.8B	44	29	n/a	n/a	n/a
2014	Mar 26, 2015	$2.8B	$2.8B	36	25	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	$2.8B	$2.8B	2.5%	n/a	n/a	52	44	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	13	Mar 31, 2018	Mar 15, 2018	LEAWOOD, KS	TEAM LIFT OUT	OTHER	46.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRSTPOINT FINANCIAL, LLC	3	Jan 21, 2016	Jan 15, 2015	LEAWOOD, KS	CHANNEL CHANGE	OTHER	23.1%

Relationships

showing 80 of 87

Affiliated with (41)

← 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
→ 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, 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 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
→ REALTYCLUB INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle 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
and 11 more

Controls (8)

← MARINER WEALTH ADVISORS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 26, 2014 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Mar 26, 2014 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← SANDNES, KAREN, LEIGHOwnerVICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← VOHLAND, CHERYL, RENEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← CAPLINGER, MARK, ANDREWOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 26, 2015 to presentfactForm ADV
← BICKNELL FAMILY HOLDING CO., LLCOwnerMANAGER, ownership code E, domestic entity
Mar 26, 2014 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 26, 2014 to presentfactForm ADV

Registered with (30)

← MICHAEL GEORGE O'NEILLAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← JEFFREY GERARD MAHERAdvisorregistration: previous registration
Oct 9, 2014 to Mar 31, 2018factForm ADV
← BARNEY EDGAR BARNESAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← ALISA ANNE ROTHAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← THERESA IRENE HULTZAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← MATTHEW SHANE BRADYAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← ALANA DENNEY SCOTTAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← MARK RICHARD VLASICAdvisorregistration: previous registration
Aug 27, 2014 to Mar 31, 2018factForm ADV
← ELIZABETH HARDINGAdvisorregistration: previous registration
Jan 8, 2018 to Mar 31, 2018factForm ADV
← STEPHANIE LEANN MANNINGAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← SHERRI LYNN HAZELLAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← DREW RYAN WALDRONAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← RYAN JOHN GRAVESAdvisorregistration: previous registration
Oct 28, 2014 to Mar 31, 2018factForm ADV
← JENIKA RAE COOKAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← JACOB WALTER KERNAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← MEGAN LINDSEY TANNEYAdvisorregistration: previous registration
May 20, 2016 to Mar 31, 2018factForm ADV
← RUSTYN BICKNELL GALLAGHERAdvisorregistration: previous registration
Mar 13, 2015 to Mar 31, 2018factForm ADV
← JASON WESLEY CRAINEAdvisorregistration: previous registration
Mar 31, 2017 to Mar 31, 2018factForm ADV
← COLE KENNITH FOSTERAdvisorregistration: previous registration
Jun 5, 2017 to Mar 31, 2018factForm ADV
← JUSTIN L RICHTERAdvisorregistration: previous registration
Mar 17, 2015 to Mar 31, 2018factForm ADV
← ETHAN WADE HUTCHESONAdvisorregistration: previous registration
Jan 15, 2015 to Mar 31, 2018factForm ADV
← JAMIE DENISE WEEMSAdvisorregistration: previous registration
Aug 26, 2014 to Mar 31, 2018factForm ADV
← SARAH TIEDTAdvisorregistration: previous registration
Aug 27, 2014 to Mar 31, 2018factForm ADV
← MARGUERITE LUCAS ARMITAGEAdvisorregistration: previous registration
Aug 31, 2016 to Mar 31, 2018factForm ADV
← Matthew Robert Morgan CharlesAdvisorregistration: previous registration
Jan 31, 2017 to Mar 31, 2018factForm ADV
← Joseph Michael ColettaAdvisorregistration: previous registration
Jun 13, 2017 to Mar 31, 2018factForm ADV
← Adam C HastyAdvisorregistration: previous registration
Dec 23, 2016 to Mar 31, 2018factForm ADV
← LINDSEY ANNE SERRANOAdvisorregistration: previous registration
Nov 22, 2016 to Mar 31, 2018factForm ADV
← Grover Cleaveland MusserAdvisorregistration: previous registration
Nov 4, 2016 to Feb 23, 2018factForm ADV
← MARTIN ANDREW GARRISONAdvisorregistration: previous registration
Oct 3, 2014 to Sep 20, 2017factForm ADV

Moved with (1)

→ MARINERRegistered adviser13 advisors, team lift out, same day
Mar 31, 2018 to Mar 15, 2018factForm ADV

Dated events

Occurred
Mar 26, 2014
First Form ADV filing
Mariner Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cab004ec-368d-6659-e009-542c1070f5e1
First observed: Mar 26, 2014
Last observed: Mar 30, 2017 115 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 - LEAWOOD, LLC, CRD 170703

OVERLAND PARK, KS

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 8:35 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

04/2008

Mar 26, 2014

Mar 30, 2017

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Mar 26, 2014

Mar 30, 2017

BICKNELL, MARTIN, CHRISTOPHER

CHIEF EXECUTIVE OFFICER

yes

02/2014

Mar 26, 2014

Mar 30, 2017

CAPLINGER, MARK, ANDREW

CHIEF INVESTMENT OFFICER

yes

09/2014

Mar 26, 2015

Mar 30, 2017

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

09/2008

Mar 26, 2014

Mar 30, 2017

MARINER WEALTH ADVISORS, LLC

MANAGING MEMBER

yes

02/2014

Mar 26, 2014

Mar 30, 2017

SANDNES, KAREN, LEIGH

VICE PRESIDENT OF OPERATIONS

yes

02/2014

Mar 26, 2014

Mar 30, 2017

VOHLAND, CHERYL, RENEE

CHIEF COMPLIANCE OFFICER

yes

02/2014

Mar 26, 2014

Mar 30, 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

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

MARINER REAL ESTATE MANAGEMENT, 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-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

REALTYCLUB INVESTMENT ADVISORS LLC

n/a

FORMER SEC ADVISER

$20.5M

yes

n/a

TORTOISE CLEAN ENERGY PARTNERS, LLC

n/a

FORMER SEC ADVISER

yes

n/a

VARIANT, 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

City

State

Country

Employees

Also broker-dealer

LEAWOOD

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$2.8B

n/a

2015

Mar 30, 2016

$2.8B

n/a

2014

Mar 26, 2015

$2.8B

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

$2.8B

2.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MARINER

Mar 31, 2018

Mar 15, 2018

LEAWOOD, KS

TEAM LIFT OUT

OTHER

46.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRSTPOINT FINANCIAL, LLC

Jan 21, 2016

Jan 15, 2015

LEAWOOD, KS

CHANNEL CHANGE

OTHER

23.1%