DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FIRSTPOINT FINANCIAL, LLC

CRD 175252

LEAWOOD, KS

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Search this name across graphsid dfx:ria:f3d0892c-bb8f-a90e-bf6e-384a5cc77dd3

Data as of Mar 24, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 60
Dated events: 1
On other graphs: 0
Observed: Mar 3, 2015 to Mar 24, 2016
5 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: $60,000Item 5.F on the latest filing (2016-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $60,000
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: 16
Advisory employees: 16
Accounts: 1
SEC number: 801-81098
CRD: 175252
Filings on the tape: 5
First filed: Mar 3, 2015
Latest filed: Mar 24, 2016
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
A+ INSTITUTIONAL SERVICES, LLC	Member	E	yes	03/2015	Jul 7, 2015	Mar 24, 2016
BICKNELL FAMILY HOLDING CO., LLC	Manager	E	yes	02/2015	Mar 3, 2015	Mar 24, 2016
BICKNELL, MARTIN, CHRISTOPHER	ELECTED MANAGER	F	yes	07/2007	Mar 3, 2015	Mar 24, 2016
BICKNELL, MARTIN, CHRISTOPHER	CHIEF EXECUTIVE OFFICER	Na	yes	03/2015	Mar 3, 2015	Mar 24, 2016
CAPLINGER, MARK, ANDREW	CHIEF INVESTMENT OFFICER	Na	yes	03/2015	Jul 7, 2015	Mar 24, 2016
DORIAN, ANNE, JENELLE PLEVIAK	CHIEF COMPLIANCE OFFICER	Na	yes	02/2015	Mar 3, 2015	Mar 24, 2016
MARINER HOLDINGS, LLC	MANAGING MEMBER	E	yes	01/2010	Mar 3, 2015	Mar 24, 2016
MONTAGE INVESTMENTS, LLC	Manager	Na	yes	03/2015	Mar 3, 2015	Mar 24, 2016
MONTAGE INVESTMENTS, LLC	MANAGING MEMBER	D	yes	12/2014	Mar 3, 2015	Mar 24, 2016

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
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
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
GIRALDA ADVISORS, LLC	n/a	Former SEC adviser	$206M	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
MONTAGE INVESTMENTS, LLC	n/a	Former SEC adviser	$35.8M	Y	yes	n/a
TORRAYRESOLUTE, LLC	n/a	Former SEC adviser	$33.1M	N	yes	n/a
REALTYCLUB INVESTMENT ADVISORS LLC	n/a	Former SEC adviser	$20.5M	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
RB INVESTMENTS, 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
NEW YORK	NY	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
2015	Mar 5, 2016	$60,000	$60,000	1	1	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
2015	$60,000	n/a	n/a	n/a	n/a	16	n/a	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 22, 2017	Aug 5, 2026	OVERLAND PARK, KS	Team lift out	Other	23.1%

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	May 21, 2015	LEAWOOD, KS	Channel change	Other	23.1%

Relationships

Affiliated with (35)

← REALTYCLUB INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← GIRALDA ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← MONTAGE INVESTMENTS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← RB INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ TORTOISE CAPITAL ADVISORS, L.L.C.Registered adviserother investment adviser, 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
→ MONTAGE INVESTMENTS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, 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
→ GIRALDA ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, insurance company, LP sponsor, 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
→ TORRAYRESOLUTE, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MARINER INSTITUTIONAL CONSULTING, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ FLYOVER CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ REALTYCLUB INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, 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, common control
factForm ADV
and 5 more

Controls (7)

← MONTAGE INVESTMENTS, LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 3, 2015 to presentfactForm ADV
← BICKNELL, MARTIN, CHRISTOPHEROwnerELECTED MANAGER, ownership code F, individual
Mar 3, 2015 to presentfactForm ADV
← DORIAN, ANNE, JENELLE PLEVIAKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 3, 2015 to presentfactForm ADV
← CAPLINGER, MARK, ANDREWOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 7, 2015 to presentfactForm ADV
← A+ INSTITUTIONAL SERVICES, LLCOwnerMEMBER, ownership code E, domestic entity
Jul 7, 2015 to presentfactForm ADV
← BICKNELL FAMILY HOLDING CO., LLCOwnerMANAGER, ownership code E, domestic entity
Mar 3, 2015 to presentfactForm ADV
← MARINER HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 3, 2015 to presentfactForm ADV

Moved with (2)

→ MARINERRegistered adviser3 advisors, team lift out, same day
Mar 22, 2017 to Aug 5, 2026factForm ADV
← FIRSTPOINT FINANCIAL, LLCRegistered adviser3 advisors, team lift out, same day
Jan 21, 2016 to May 21, 2015factForm ADV

Registered with (14)

← AISLING MARIE-PATRICIA CARROLL-TRANSOMAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← JAMIE CHRISTOPHER CINOTTOAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← KIRK M BOSTERAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← KEITH GORMAN DOWLINGAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← MARTIN ANDREW GARRISONAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← KYNDRA M. BURGESSAdvisorregistration: previous registration
May 22, 2015 to Mar 22, 2017factForm ADV
← Bryan Hugh PepperAdvisorregistration: previous registration
Apr 14, 2015 to Mar 22, 2017factForm ADV
← VALERIE ELIZABETH ESCOBARAdvisorregistration: previous registration
May 27, 2015 to Mar 22, 2017factForm ADV
← RYAN JOHN GRAVESAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← JASON WESLEY CRAINEAdvisorregistration: previous registration
Apr 14, 2015 to Mar 22, 2017factForm ADV
← ETHAN WADE HUTCHESONAdvisorregistration: previous registration
Apr 14, 2015 to Mar 22, 2017factForm ADV
← GERHART KEITH KLOIBERAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← NATHAN RYDER DORNAdvisorregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
← LUKE N EIDEAdvisorregistration: previous registration
May 22, 2015 to Nov 16, 2015factForm ADV

Dated events

Occurred
Mar 3, 2015
First Form ADV filing
Firstpoint Financial, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3d0892c-bb8f-a90e-bf6e-384a5cc77dd3
First observed: Mar 3, 2015
Last observed: Mar 24, 2016 127 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.

FIRSTPOINT FINANCIAL, LLC

CRD 175252

LEAWOOD, 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:f3d0892c-bb8f-a90e-bf6e-384a5cc77dd3

Data as of Mar 24, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:40 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

A+ INSTITUTIONAL SERVICES, LLC

Member

yes

03/2015

Jul 7, 2015

Mar 24, 2016

BICKNELL FAMILY HOLDING CO., LLC

Manager

yes

02/2015

Mar 3, 2015

Mar 24, 2016

BICKNELL, MARTIN, CHRISTOPHER

ELECTED MANAGER

yes

07/2007

Mar 3, 2015

Mar 24, 2016

BICKNELL, MARTIN, CHRISTOPHER

CHIEF EXECUTIVE OFFICER

yes

03/2015

Mar 3, 2015

Mar 24, 2016

CAPLINGER, MARK, ANDREW

CHIEF INVESTMENT OFFICER

yes

03/2015

Jul 7, 2015

Mar 24, 2016

DORIAN, ANNE, JENELLE PLEVIAK

CHIEF COMPLIANCE OFFICER

yes

02/2015

Mar 3, 2015

Mar 24, 2016

MARINER HOLDINGS, LLC

MANAGING MEMBER

yes

01/2010

Mar 3, 2015

Mar 24, 2016

MONTAGE INVESTMENTS, LLC

Manager

yes

03/2015

Mar 3, 2015

Mar 24, 2016

MONTAGE INVESTMENTS, LLC

MANAGING MEMBER

yes

12/2014

Mar 3, 2015

Mar 24, 2016

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

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

GIRALDA ADVISORS, LLC

n/a

Former SEC adviser

$206M

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

MONTAGE INVESTMENTS, LLC

n/a

Former SEC adviser

$35.8M

yes

n/a

TORRAYRESOLUTE, LLC

n/a

Former SEC adviser

$33.1M

yes

n/a

REALTYCLUB INVESTMENT ADVISORS LLC

n/a

Former SEC adviser

$20.5M

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

RB INVESTMENTS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 5, 2016

$60,000

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$60,000

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Mar 22, 2017

Aug 5, 2026

OVERLAND PARK, KS

Team lift out

Other

23.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRSTPOINT FINANCIAL, LLC

Jan 21, 2016

May 21, 2015

LEAWOOD, KS

Channel change

Other

23.1%