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

VANTAGE INVESTMENT ADVISORS, LLC

CRD 110128

STATE COLLEGE, PA

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:ee3893e6-394e-cc82-aa48-fea8c0edf00c

Data as of Feb 9, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Feb 9, 2015
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: $1.1BItem 5.F on the latest filing (2015-02-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
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: 6
Accounts: 3,354
SEC number: 801-57491
CRD: 110128
Filings on the tape: 8
First filed: Feb 29, 2012
Latest filed: Feb 9, 2015
Organised: Limited Liability Company, Pennsylvania

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
SUTT, JILL, WAINE	EXECUTIVE VICE PRESIDENT	Na	yes	01/2000	Feb 29, 2012	Feb 9, 2015
THOMAS, ROBERT, ROY	PRESIDENT, CEO, MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	01/2000	Feb 29, 2012	Feb 9, 2015

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
VANTAGE INVESTMENT ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	Y	no	n/a

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
2013	Mar 21, 2014	$916M	$868M	13	6	n/a	n/a	n/a
2012	Feb 1, 2013	$719M	$670M	11	6	n/a	n/a	n/a
2011	Feb 29, 2012	$592M	$542M	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
2013	$1.1B	$719M	49.9%	n/a	n/a	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 WEALTH ADVISORS	5	Mar 30, 2015	Mar 30, 2015	STATE COLLEGE, PA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (1)

→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, control
factForm ADV

Controls (2)

← THOMAS, ROBERT, ROYOwnerPRESIDENT, CEO, MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 29, 2012 to presentfactForm ADV
← SUTT, JILL, WAINEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV

Moved with (1)

→ MARINER WEALTH ADVISORSRegistered adviser5 advisors, firm absorbed, same day
Mar 30, 2015 to Mar 30, 2015factForm ADV

Registered with (5)

← ROBERT ROY THOMASAdvisorregistration: previous registration
May 12, 2000 to Mar 30, 2015factForm ADV
← JILL WAINE SUTTAdvisorregistration: previous registration
May 12, 2000 to Mar 30, 2015factForm ADV
← BRET HARMON HOAGAdvisorregistration: previous registration
Sep 20, 2010 to Mar 30, 2015factForm ADV
← TIMOTHY GEORGE BRUCKERAdvisorregistration: previous registration
Apr 7, 2011 to Mar 30, 2015factForm ADV
← RONALD BRUCE BEYERAdvisorregistration: previous registration
Apr 9, 2014 to Mar 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee3893e6-394e-cc82-aa48-fea8c0edf00c
First observed: Feb 29, 2012
Last observed: Feb 9, 2015 141 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.

VANTAGE INVESTMENT ADVISORS, LLC

CRD 110128

STATE COLLEGE, PA

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:ee3893e6-394e-cc82-aa48-fea8c0edf00c

Data as of Feb 9, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SUTT, JILL, WAINE

EXECUTIVE VICE PRESIDENT

yes

01/2000

Feb 29, 2012

Feb 9, 2015

THOMAS, ROBERT, ROY

PRESIDENT, CEO, MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

01/2000

Feb 29, 2012

Feb 9, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VANTAGE INVESTMENT ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 21, 2014

$916M

$868M

n/a

2012

Feb 1, 2013

$719M

$670M

n/a

2011

Feb 29, 2012

$592M

$542M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$1.1B

$719M

49.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MARINER WEALTH ADVISORS

Mar 30, 2015

STATE COLLEGE, PA

Firm absorbed

Other

100.0%