DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Adviceperiod, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 169828SEC 801-79005IAPD
Latest filing Oct 25, 2021
First filing on the tape Dec 20, 2013 · 56 filings
RAUM
$4.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$4.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
92
65 advisory (5.B.1)
Offices
20
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$4.5B as of Mar 26, 2021
Feb 19, 2015$588M then
HNW client RAUM$4.0B as of Mar 26, 2021
Mar 28, 2018$2.1B then
State-registered IARs (5.B.3)67 as of Mar 26, 2021
Feb 19, 20155 then
Employees (5.A)92 as of Mar 26, 2021
Feb 19, 20157 then
Private funds: no history
RAUM +29% over the last fiscal year+25% a year over threeIARs 56 to 67offices 15 to 20
Practice profile
derived from the filing of Oct 25, 2021; every figure names its basis
RAUM per advisor
$66.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.9MderivedHNW RAUM over HNW clients
Average account
$924,862derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.2derived21 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+26%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Financial planning clients
1,165reportedItem 5.H
Custody
$4.1B, 401 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.0B89%
  • Individuals$434M9.7%
  • Corporations and businesses$30.0M0.7%
  • Charitable organizations$16.8M0.4%
Individual clients
753reported
HNW clients
400reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,821reported
Financial planning clients
1,165reported
Wrap fee programs
noreported
Custody of client assets
$4.1B for 401 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • David Steven Lockshin · Directorcontrol
    since 11/2013 · owns less than 5%
  • Ann Shigemura-Hildebrand · Chief Compliance Officercontrol
    since 12/2016 · owns less than 5%
  • Paul Jonathan Straub · Directorcontrol
    since 11/2013 · owns less than 5%
  • Christopher Martin Bicknell · Shareholdercontrol
    since 10/2020 · owns 75% or more of 1248 Trust Company, Inc.
  • Christopher Martin Bicknell · Elected Managercontrol
    since 07/2007 · owns F of 1248 Holdings, LLC
  • Glenn John Danhakl · Trusteecontrol
    since 10/1997 · owns F of The Danhakl Revocable Trust
  • Davis Jonathan Sokoloff · Trusteecontrol
    since 10/1997 · owns F of The Sokoloff Family Trust
  • Jenelle Anne Dorian · Senior Vice President, General Counsel
    since 09/2021 · owns less than 5%
Entity owners
  • Mariner Wealth Advisors, LLC · Managing Member
    direct · owns 75% or more
  • 1248 Holdings, LLC · Member
    indirect · owns 25% to 50% of Mwa Holdco, LLC
  • 1248 Trust Company, Inc. · Trustee
    indirect · owns F of O. Gene Bicknell Charitable Lead Trust Of 2009
  • Emerald Holdings I, LLC · General Partner
    indirect · owns F of Emerald Holdings II, L.P.
  • Emerald Holdings II, L.P. · Limited Partner
    indirect · owns 50% to 75% of Leonard Green & Partners, L.P.
  • Gei Capital Viii, LLC · General Partner
    indirect · owns F of Green Equity Investors Side Viii L.P.
  • Gei Capital Viii, LLC · General Partner
    indirect · owns F of Green Equity Investors Viii L.P.
  • Gei Viii Mw Aggregator LLC · Member
    indirect · owns 25% to 50% of Mwa Holdco, LLC
  • Green Equity Investors Side Viii L.P. · Member
    indirect · owns 75% or more of Gei Viii Mw Blocker LLC
  • Leonard Green & Partners, L.P. · Manager
    indirect · owns 75% or more of Peridot Coinvest Manager LLC
  • Lgp Management, Inc. · Manager
    indirect · owns F of Gei Capital Viii, LLC
  • Lgp Management, Inc. · General Partner
    indirect · owns F of Leonard Green & Partners, L.P.
  • Martin C. Bicknell Revocable Trust Dated November 6, 2009 · Member
    indirect · owns 25% to 50% of Mwa Holdco, LLC
  • Mwa Holdco, LLC · Manager
    indirect · owns F of Mwa Midco, LLC
  • Mwa Midco, LLC · Manager
    indirect · owns F of Mariner Wealth Advisors, LLC
  • O. Gene Bicknell Charitable Lead Trust Of 2009 · Member
    indirect · owns 25% to 50% of 1248 Holdings, LLC
  • Peridot Coinvest Manager LLC · Manager
    indirect · owns F of Gei Viii Mw Aggregator LLC
  • Peridot Coinvest Manager LLC · Manager
    indirect · owns F of Gei Viii Mw Blocker LLC
  • The Danhakl Revocable Trust · Limited Partner
    indirect · owns 25% to 50% of Emerald Holdings II, L.P.
  • The Danhakl Revocable Trust · Member
    indirect · owns 25% to 50% of Emerald Holdings I, LLC
Related persons
Schedule D 7.A
Advisers that list Adviceperiod, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • East Greenwich, RI3 employees
  • Littleton, CO2 employees
  • Millbrae, CA2 employees
  • San Diego, CA2 employees
  • Tustin, CA2 employees
  • Chesterfield, MO2 employees
  • Plover, WI1 employees
  • Riverside, CA1 employees
  • Vestal, NY1 employees
  • Brookline, MA1 employees
  • , 1 employees
  • Chicago, IL1 employees
  • Cincinnati, OH1 employees
  • De Pere, WI1 employees
  • Newport Beach, CA1 employees
  • Paramus, NJ1 employees
What changed
consecutive filings, newest first
  • Related bank · false to true
    Jul 30, 2021 to Oct 22, 2021
  • Related broker-dealer · false to true
    Jul 30, 2021 to Oct 22, 2021
  • Other offices · 19 to 20
    Jun 3, 2021 to Jul 28, 2021
  • Accounts · 3,607 to 4,821
    Nov 16, 2020 to Mar 26, 2021
  • Advisory employees · 57 to 65
    Nov 16, 2020 to Mar 26, 2021
  • Corporate clients · 5 to 9
    Nov 16, 2020 to Mar 26, 2021
  • HNW clients · 369 to 400
    Nov 16, 2020 to Mar 26, 2021
  • Individual clients · 543 to 753
    Nov 16, 2020 to Mar 26, 2021
  • Assets in custody · $2.6B to $4.1B
    Nov 16, 2020 to Mar 26, 2021
  • Employees · 90 to 92
    Nov 16, 2020 to Mar 26, 2021
  • State-registered IARs · 59 to 67
    Nov 16, 2020 to Mar 26, 2021
  • Other offices · 18 to 19
    Nov 16, 2020 to Mar 26, 2021
  • Discretionary RAUM · $3.5B to $4.4B
    Nov 16, 2020 to Mar 26, 2021
  • HNW RAUM · $3.2B to $4.0B
    Nov 16, 2020 to Mar 26, 2021
  • Individual RAUM · $210M to $434M
    Nov 16, 2020 to Mar 26, 2021
  • Non-discretionary RAUM · $1.5M to $71.5M
    Nov 16, 2020 to Mar 26, 2021
  • RAUM · $3.5B to $4.5B
    Nov 16, 2020 to Mar 26, 2021
  • Advisory employees · 55 to 57
    Aug 31, 2020 to Nov 16, 2020
  • Employees · 88 to 90
    Aug 31, 2020 to Nov 16, 2020
  • State-registered IARs · 57 to 59
    Aug 31, 2020 to Nov 16, 2020
  • Other offices · 17 to 18
    Aug 31, 2020 to Nov 16, 2020
  • Advisory employees · 54 to 55
    Jul 8, 2020 to Aug 31, 2020
  • Employees · 79 to 88
    Jul 8, 2020 to Aug 31, 2020
  • State-registered IARs · 56 to 57
    Jul 8, 2020 to Aug 31, 2020
  • Employees · 78 to 79
    Apr 21, 2020 to Jun 4, 2020
  • Other offices · 15 to 17
    Apr 21, 2020 to Jun 4, 2020
  • Accounts · 3,242 to 3,607
    Feb 25, 2020 to Mar 27, 2020
  • Advisory employees · 48 to 54
    Feb 25, 2020 to Mar 27, 2020
  • Corporate clients · 6 to 5
    Feb 25, 2020 to Mar 27, 2020
  • HNW clients · 339 to 369
    Feb 25, 2020 to Mar 27, 2020
  • Individual clients · 417 to 543
    Feb 25, 2020 to Mar 27, 2020
  • Assets in custody · $1.7B to $2.6B
    Feb 25, 2020 to Mar 27, 2020
  • Employees · 70 to 78
    Feb 25, 2020 to Mar 27, 2020
  • State-registered IARs · 50 to 56
    Feb 25, 2020 to Mar 27, 2020
  • Other offices · 12 to 15
    Feb 25, 2020 to Mar 27, 2020
  • Discretionary RAUM · $2.9B to $3.5B
    Feb 25, 2020 to Mar 27, 2020
  • HNW RAUM · $2.7B to $3.2B
    Feb 25, 2020 to Mar 27, 2020
  • Individual RAUM · $152M to $210M
    Feb 25, 2020 to Mar 27, 2020
  • Non-discretionary RAUM · $2.9M to $1.5M
    Feb 25, 2020 to Mar 27, 2020
  • RAUM · $2.9B to $3.5B
    Feb 25, 2020 to Mar 27, 2020
Signals
35 dated events
  • Mitchell William Spinneberg left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Mark William Harris left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Phillip Joseph Boscarino left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Joy Soon Oh left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Michael Stanley Burr left Adviceperiod, Llc for Mariner (registered 2022-03-03)
    Mar 30, 2022 · Advisor changed firm · fact
  • Nicholas Vladimir Strunc left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Joshua Lewis Chambers left Adviceperiod, Llc for Mariner (registered 2022-03-02)
    Mar 30, 2022 · Advisor changed firm · fact
  • Tia Lanae Peterson left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Jacob James Dorman left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Tanner John Hamilton left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Anthony Nicholas Ferraiolo left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Alison Morgan Roth left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Aderemi O Adeyemo left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Brett James Thomas left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Dominic Joseph Cozzetto left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Alan Kauffmann Bonde left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Marc Lee Russell left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Sara Pierce Clark left Adviceperiod, Llc for Mariner (registered 2022-03-17)
    Mar 30, 2022 · Advisor changed firm · fact
  • Erik Paul Gulsrud left Adviceperiod, Llc for Mariner (registered 2022-03-01)
    Mar 30, 2022 · Advisor changed firm · fact
  • Steven David Lockshin left Adviceperiod, Llc for Mariner (registered 2022-03-03)
    Mar 30, 2022 · Advisor changed firm · fact
  • Niza Hang Oun-Nguyen left Adviceperiod, Llc for Mariner (registered 2022-01-18)
    Mar 30, 2022 · Advisor changed firm · fact
  • Jonathan Paul Straub left Adviceperiod, Llc for Mariner (registered 2022-03-08)
    Mar 30, 2022 · Advisor changed firm · fact
  • Christopher George Cerini left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • Matthew Christopher Woodward left Adviceperiod, Llc for Mariner (registered 2022-03-15)
    Mar 30, 2022 · Advisor changed firm · fact
  • 24 advisors left Adviceperiod, LLC (Los Angeles, CA) for Mariner on the same day
    Mar 30, 2022 · Team lift-out · derived
  • Matthew Hanson left Adviceperiod, Llc for Mariner (registered 2021-09-03)
    Feb 24, 2022 · Advisor changed firm · fact
  • Glenn John Danhakl (Trustee) appeared on Schedule A of Adviceperiod, Llc
    Oct 22, 2021 · Control person joined · fact
  • Davis Jonathan Sokoloff (Trustee) appeared on Schedule A of Adviceperiod, Llc
    Oct 22, 2021 · Control person joined · fact
  • Christopher Martin Bicknell (Elected Manager) appeared on Schedule A of Adviceperiod, Llc
    Oct 22, 2021 · Control person joined · fact
  • Adviceperiod, Llc reported RAUM $4.5B, up 29% from $3.5B (2020-11-16 to 2021-03-26)
    Mar 26, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026