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 Retirement Advisors, LLC
Latest filing Mar 29, 2018
First filing on the tape Sep 8, 2014 · 12 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.7B as of Mar 29, 2018
Jan 27, 2015$946M then
HNW client RAUM: $0
State-registered IARs (5.B.3)9 as of Mar 29, 2018
Jan 27, 20156 then
Employees (5.A)13 as of Mar 29, 2018
Jan 27, 20159 then
Private funds: no history
RAUM +34% over the last fiscal year+22% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $8.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 187reported
- Charitable clients
- 0reported
- Accounts
- 196reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- Thomas Charles Hardy to MarinerJul 3, 2018 · Other
- Mark Louis Nothnagel to MarinerJul 3, 2018 · Other
- Scott Austin Eggers to MarinerJul 3, 2018 · Other
- Tami Lynn Ledger to MarinerJul 3, 2018 · Other
- John Aylward Fletcher to MarinerJul 3, 2018 · Other
- David Kent Stofer to MarinerJul 3, 2018 · Other
- Angelyn Rosson to MarinerJul 3, 2018 · Other
- Timothy Shepard Duncan to MarinerJul 3, 2018 · Other
- Judy I Gutierrez to Oneamerica Securities, Inc.Aug 28, 2015 · Other
Joined, latest
- Thomas Charles Hardy from Arvest Wealth ManagementNov 1, 2017 · Other
- John Aylward Fletcher from Cognios Capital, LLCJun 15, 2017 · Other
- Tami Lynn Ledger from Securian Financial Services, Inc.Dec 9, 2014 · Other
- Timothy Shepard Duncan from Creative Planning Institutional Advisors, LLCOct 21, 2014 · Other
- David Kent Stofer from Creative Planning Institutional Advisors, LLCOct 8, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cheryl Bicknell · Chief Operating Officer, Chief Strategy Officercontrolsince 09/2013 · owns less than 5%
- Delores Katrina Scott · Chief Investment Officercontrolsince 01/2018 · owns less than 5%
- Kent David Stofer · Presidentcontrolsince 10/2014 · owns 25% to 50%
- Christopher Martin Bicknell · Elected Manager Of Bicknell Family Holding Companycontrolsince 07/2007 · owns F of Bicknell Family Holding Company, LLC
- Louis Mark Nothnagel · Senior Vice Presidentsince 10/2014 · owns 5% to 10%
- Annie Taylor · Chief Compliance Officersince 03/2018 · owns less than 5%
Entity owners
- Mariner Holdings, LLC · Managing Memberdirect · owns 50% to 75%
- Bicknell Family Holding Company, LLC · Managerindirect · owns 75% or more of Mariner Holdings, LLC
Related persons
Schedule D 7.A
- Alegria Energy, LLCinvestment adviserbankpooled vehicle sponsornRAUM $177M
- Ascent Investment Partners, LLCinvestment advisernRAUM $1.1B
- Convergence Investment Partners, LLCinvestment advisernRAUM $524M
- Enterprise Risk Strategies, LLCreal estaten
- Flyover Capital Partners, LLCinvestment adviserpooled vehicle sponsornRAUM $148M
- Kummer Financial Strategies, LLCinvestment adviserLP sponsornRAUM $279M
- Mariner Consulting-Oklahoma, LLCinsurancen
- Mariner Institutional Consulting, LLCinvestment adviserLP sponsorn
- Mariner Insurance Resources, LLCreal estaten
- Mariner Trust Company, LLCn
- Mariner Wealth Advisorsinvestment adviserLP sponsornRAUM $2.8B
- Mariner Wealthinvestment advisern
- Mariner Wealth Advisorsinvestment adviserinsurancenRAUM $1.1B
- Mariner Wealth Advisorsinvestment adviserLP sponsornRAUM $1.1B
- Mariner Wealth Advisorsinvestment adviserLP sponsornRAUM $2.4B
- Mariner Wealth Advisorsinvestment adviserLP sponsornRAUM $615M
- Marinerinvestment adviserinsurancepooled vehicle sponsorLP sponsornRAUM $125B
- Montage Securities, LLCbroker-dealern
- Nuance Investments, LLCinvestment advisernRAUM $984M
- Palmer Square Capital Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $26B
- Mariner Wealth Advisorsinvestment adviserLP sponsornRAUM $1.4B
Advisers that list Mariner Retirement Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Tulsa, OK1 employees
- Omaha, NE1 employees
What changed
consecutive filings, newest first
- Accounts · 168 to 196Mar 23, 2017 to Mar 29, 2018
- Advisory employees · 7 to 9Mar 23, 2017 to Mar 29, 2018
- BD registered reps · 5 to 8Mar 23, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Pension plan clients · unset to 187.0Mar 23, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Employees · 10 to 13Mar 23, 2017 to Mar 29, 2018
- Financial planning clients · 0 to unsetMar 23, 2017 to Mar 29, 2018
- State-registered IARs · 7 to 9Mar 23, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Mar 23, 2017 to Mar 29, 2018
- Discretionary RAUM · $421M to $577MMar 23, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $849M to $1.1BMar 23, 2017 to Mar 29, 2018
- Pension RAUM · unset to 1707157168.0Mar 23, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 23, 2017 to Mar 29, 2018
- RAUM · $1.3B to $1.7BMar 23, 2017 to Mar 29, 2018
- Accounts · 144 to 168Apr 7, 2016 to Mar 23, 2017
- BD registered reps · 10 to 5Apr 7, 2016 to Mar 23, 2017
- Employees · 11 to 10Apr 7, 2016 to Mar 23, 2017
- Insurance-licensed employees · 0 to 1Apr 7, 2016 to Mar 23, 2017
- Financial planning clients · unset to 0Apr 7, 2016 to Mar 23, 2017
- HQ city · LEAWOOD to OVERLAND PARKApr 7, 2016 to Mar 23, 2017
- Discretionary RAUM · $362M to $421MApr 7, 2016 to Mar 23, 2017
- Non-discretionary RAUM · $791M to $849MApr 7, 2016 to Mar 23, 2017
- RAUM · $1.2B to $1.3BApr 7, 2016 to Mar 23, 2017
- Accounts · 141 to 144May 22, 2015 to Mar 17, 2016
- Advisory employees · 6 to 7May 22, 2015 to Mar 17, 2016
- BD registered reps · 6 to 10May 22, 2015 to Mar 17, 2016
- Employees · 9 to 11May 22, 2015 to Mar 17, 2016
- State-registered IARs · 6 to 7May 22, 2015 to Mar 17, 2016
- Discretionary RAUM · $105M to $362MMay 22, 2015 to Mar 17, 2016
- Non-discretionary RAUM · $841M to $791MMay 22, 2015 to Mar 17, 2016
- RAUM · $946M to $1.2BMay 22, 2015 to Mar 17, 2016
- Accounts · 0 to 141Nov 10, 2014 to Jan 27, 2015
- Advisory employees · 4 to 6Nov 10, 2014 to Jan 27, 2015
- BD registered reps · 3 to 6Nov 10, 2014 to Jan 27, 2015
Signals
2 dated events
- Mariner Retirement Advisors, Llc reported RAUM $1.7B, up 34% from $1.3B (2017-03-23 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Mariner Retirement Advisors, Llc filed its initial SEC registration (Form ADV)Sep 8, 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