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

Mariner Wealth Advisors

Former SEC-registered adviserOverland Park, KansasCRD 171018SEC 801-79628IAPD
Legal name Mariner Wealth Advisors-Manasquan, LLC
Latest filing Jul 27, 2018
First filing on the tape Apr 11, 2014 · 14 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
93%
$992M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.1B as of Mar 29, 2018
Mar 20, 2015$747M then
HNW client RAUM: $884M
State-registered IARs (5.B.3)12 as of Mar 29, 2018
Mar 20, 20157 then
Employees (5.A)19 as of Mar 29, 2018
Mar 20, 20158 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 14 to 12
Practice profile
derived from the filing of Jul 27, 2018; every figure names its basis
RAUM per advisor
$88.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$305,400derivedRAUM over accounts (5.F.2.f)
Discretionary
31%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
3.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
600reportedItem 5.H
Custody
$169M, 157 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$884M83%
  • Individuals$108M10%
  • Pension and profit-sharing plans$36.2M3.4%
  • Corporations and businesses$34.5M3.2%
  • Charitable organizations$3.7M0.3%
Individual clients
307reported
HNW clients
245reported
Pension plan clients
22reported
Charitable clients
7reported
Accounts
3,493reported
Financial planning clients
600reported
Wrap fee programs
noreported
Custody of client assets
$169M for 157 clientsreported
Compensation
% of AUM, fixedreported
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
  • 8 left for Mariner
    Dec 31, 2018 · Overland Park, Ks · Firm absorbed
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Cheryl Bicknell · Chief Operating Officer, Chief Strategy Officercontrol
    since 09/2013 · owns less than 5%
  • Robert Christopher Housen · Managing Directorcontrol
    since 04/2014 · owns less than 5%
  • Robert Patrick Housen · Chief Operating Officercontrol
    since 04/2014 · owns less than 5%
  • Delores Katrina Scott · Chief Investment Officercontrol
    since 01/2018 · owns less than 5%
  • Christopher Martin Bicknell · Elected Manager Of Bicknell Family Holding Companycontrol
    since 04/2008 · owns F of Bicknell Family Holding Co., LLC
  • Robert Christopher Housen · Ownercontrol
    since 06/2018 · owns 75% or more of Housen Holding Co., Inc.
  • Ricci Annie Taylor · Chief Compliance Officer
    since 03/2017 · owns less than 5%
Entity owners
  • Housen Holding Co., Inc. · Owner
    direct · owns 25% to 50%
  • Mariner Wealth Advisors · Managing Member
    direct · owns 50% to 75%
  • Bicknell Family Holding Co., LLC · Manager
    indirect · owns 75% or more of Mariner Holdings, LLC
  • Mariner Wealth Advisors, LLC · Managing Member
    indirect · owns 50% to 75% of Mariner Wealth Advisors
Related persons
Schedule D 7.A
Advisers that list Mariner Wealth Advisors as a related person
Offices
Schedule D 1.F, the 25 largest
  • Manasquan, NJ11 employees
  • Fort Lauderdale, FL1 employees
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,516 to 3,493
    Jun 26, 2017 to Mar 29, 2018
  • Advisory employees · 14 to 12
    Jun 26, 2017 to Mar 29, 2018
  • BD registered reps · 10 to 8
    Jun 26, 2017 to Mar 29, 2018
  • Charity clients · unset to 7.0
    Jun 26, 2017 to Mar 29, 2018
  • Corporate clients · unset to 18.0
    Jun 26, 2017 to Mar 29, 2018
  • HNW clients · unset to 245.0
    Jun 26, 2017 to Mar 29, 2018
  • Individual clients · unset to 307.0
    Jun 26, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 22.0
    Jun 26, 2017 to Mar 29, 2018
  • Assets in custody · unset to 168998177.0
    Jun 26, 2017 to Mar 29, 2018
  • Custody of client assets · false to true
    Jun 26, 2017 to Mar 29, 2018
  • Employees · 22 to 19
    Jun 26, 2017 to Mar 29, 2018
  • Insurance-licensed employees · 14 to 12
    Jun 26, 2017 to Mar 29, 2018
  • Financial planning clients · 251-500 to More than 500
    Jun 26, 2017 to Mar 29, 2018
  • State-registered IARs · 14 to 12
    Jun 26, 2017 to Mar 29, 2018
  • Other offices · unset to 3.0
    Jun 26, 2017 to Mar 29, 2018
  • Discretionary RAUM · $264M to $329M
    Jun 26, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 883952320.0
    Jun 26, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 108357283.0
    Jun 26, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $680M to $738M
    Jun 26, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 36246921.0
    Jun 26, 2017 to Mar 29, 2018
  • RAUM · $944M to $1.1B
    Jun 26, 2017 to Mar 29, 2018
  • Accounts · 3,186 to 3,516
    Nov 17, 2016 to Mar 23, 2017
  • Advisory employees · 10 to 14
    Nov 17, 2016 to Mar 23, 2017
  • Advisory activities · 3 to 4
    Nov 17, 2016 to Mar 23, 2017
  • BD registered reps · 8 to 10
    Nov 17, 2016 to Mar 23, 2017
  • Employees · 17 to 22
    Nov 17, 2016 to Mar 23, 2017
  • Insurance-licensed employees · 9 to 14
    Nov 17, 2016 to Mar 23, 2017
  • HQ city · MANASQUAN to OVERLAND PARK
    Nov 17, 2016 to Mar 23, 2017
  • HQ state · NJ to KS
    Nov 17, 2016 to Mar 23, 2017
  • State-registered IARs · 10 to 14
    Nov 17, 2016 to Mar 23, 2017
  • Discretionary RAUM · $103M to $264M
    Nov 17, 2016 to Mar 23, 2017
  • Non-discretionary RAUM · $691M to $680M
    Nov 17, 2016 to Mar 23, 2017
  • RAUM · $794M to $944M
    Nov 17, 2016 to Mar 23, 2017
  • Accounts · 2,655 to 3,186
    Oct 9, 2015 to Mar 10, 2016
  • Advisory employees · 7 to 10
    Oct 9, 2015 to Mar 10, 2016
  • BD registered reps · 7 to 8
    Oct 9, 2015 to Mar 10, 2016
  • Commission compensation · true to false
    Oct 9, 2015 to Mar 10, 2016
  • Employees · 8 to 17
    Oct 9, 2015 to Mar 10, 2016
  • Insurance-licensed employees · 7 to 9
    Oct 9, 2015 to Mar 10, 2016
  • Financial planning clients · 101-250 to 251-500
    Oct 9, 2015 to Mar 10, 2016
Signals
1 dated events
  • Mariner-Hfg, Llc filed its initial SEC registration (Form ADV)
    Apr 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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