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 207512SEC 801-94169IAPD
Legal name Mariner Wealth Advisors-St. Louis, LLC
Latest filing Mar 29, 2018
First filing on the tape Apr 13, 2015 · 10 filings
RAUM
$615M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$557M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$615M as of Mar 29, 2018
Mar 24, 2016$386M then
HNW client RAUM: $431M
State-registered IARs (5.B.3)8 as of Mar 29, 2018
Mar 24, 20167 then
Employees (5.A)14 as of Mar 29, 2018
Mar 24, 201612 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 7 to 8
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$76.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$363,336derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
$63.1M, 51 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)
  • 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$431M70%
  • Individuals$126M20%
  • Corporations and businesses$36.6M6.0%
  • Charitable organizations$15.0M2.4%
  • Pension and profit-sharing plans$7.3M1.2%
Individual clients
295reported
HNW clients
186reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
1,694reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$63.1M for 51 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
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
  • Cheryl Bicknell · Chief Operating Officer, Chief Strategy Officercontrol
    since 01/2010 · owns less than 5%
  • Christopher Martin Bicknell · Chief Executive Officercontrol
    since 03/2015 · owns less than 5%
  • Delores Katrina Scott · Chief Investment Officercontrol
    since 01/2018 · owns less than 5%
  • Christopher Martin Bicknell · Elected Managercontrol
    since 07/2007 · owns F of Bicknell Family Holding Co., LLC
  • Joseph Patrick Howley · Co-Trusteecontrol
    since 08/2017 · owns F of Howley Family Revocable Trust Dated August 25, 2017
  • Marie Reginia Howley · Co-Trusteecontrol
    since 08/2017 · owns F of Howley Family Revocable Trust Dated August 25, 2017
  • Jenelle Anne Dorian · Chief Compliance Officer
    since 03/2018 · owns less than 5%
  • E Betsy Dow · Member
    since 05/2015 · owns 5% to 10%
  • Douglas Matthew Fisher · Member
    since 05/2015 · owns 5% to 10%
  • Leigh Karen Sandnes · Vice President Of Operations
    since 07/2012 · owns less than 5%
Entity owners
  • Howley Family Revocable Trust Dated August 25, 2017 · Member
    direct · owns 10% to 25%
  • Mariner Wealth Advisors, LLC · Managing Member
    direct · owns 75% or more
  • Bicknell Family Holding Co., LLC · Manager
    indirect · owns 75% or more of Mariner Holdings, LLC
  • Mariner Holdings, LLC · Managing Member
    indirect · owns 75% or more of Mariner Wealth Advisors, LLC
Related persons
Schedule D 7.A
Advisers that list Mariner Wealth Advisors as a related person
Offices
Schedule D 1.F, the 25 largest
  • St. Louis, MO8 employees
What changed
consecutive filings, newest first
  • Accounts · 1,589 to 1,694
    Mar 28, 2017 to Mar 29, 2018
  • Advisory employees · 7 to 8
    Mar 28, 2017 to Mar 29, 2018
  • BD registered reps · 5 to 6
    Mar 28, 2017 to Mar 29, 2018
  • HNW clients · unset to 186.0
    Mar 28, 2017 to Mar 29, 2018
  • Individual clients · unset to 295.0
    Mar 28, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 6.0
    Mar 28, 2017 to Mar 29, 2018
  • Assets in custody · unset to 63119341.0
    Mar 28, 2017 to Mar 29, 2018
  • Custody of client assets · false to true
    Mar 28, 2017 to Mar 29, 2018
  • Insurance-licensed employees · 6 to 8
    Mar 28, 2017 to Mar 29, 2018
  • State-registered IARs · 7 to 8
    Mar 28, 2017 to Mar 29, 2018
  • Other offices · unset to 1.0
    Mar 28, 2017 to Mar 29, 2018
  • Discretionary RAUM · $550M to $615M
    Mar 28, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 430920880.0
    Mar 28, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 125614068.0
    Mar 28, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $1.8M to $132,740
    Mar 28, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 7318145.0
    Mar 28, 2017 to Mar 29, 2018
  • RAUM · $552M to $615M
    Mar 28, 2017 to Mar 29, 2018
  • Accounts · 1,331 to 1,589
    Nov 23, 2016 to Mar 28, 2017
  • Advisory activities · 6 to 5
    Nov 23, 2016 to Mar 28, 2017
  • BD registered reps · 6 to 5
    Nov 23, 2016 to Mar 28, 2017
  • Employees · 12 to 14
    Nov 23, 2016 to Mar 28, 2017
  • Insurance-licensed employees · 3 to 6
    Nov 23, 2016 to Mar 28, 2017
  • HQ city · LEAWOOD to OVERLAND PARK
    Nov 23, 2016 to Mar 28, 2017
  • Discretionary RAUM · $16.6M to $550M
    Nov 23, 2016 to Mar 28, 2017
  • Non-discretionary RAUM · $370M to $1.8M
    Nov 23, 2016 to Mar 28, 2017
  • RAUM · $386M to $552M
    Nov 23, 2016 to Mar 28, 2017
  • Accounts · 1,047 to 1,331
    Aug 18, 2015 to Mar 24, 2016
  • Advisory employees · 3 to 7
    Aug 18, 2015 to Mar 24, 2016
  • Advisory activities · 5 to 6
    Aug 18, 2015 to Mar 24, 2016
  • BD registered reps · 4 to 6
    Aug 18, 2015 to Mar 24, 2016
  • Employees · 9 to 12
    Aug 18, 2015 to Mar 24, 2016
  • Insurance-licensed employees · 2 to 3
    Aug 18, 2015 to Mar 24, 2016
  • State-registered IARs · 3 to 7
    Aug 18, 2015 to Mar 24, 2016
  • Discretionary RAUM · $0 to $16.6M
    Aug 18, 2015 to Mar 24, 2016
  • Non-discretionary RAUM · $320M to $370M
    Aug 18, 2015 to Mar 24, 2016
  • RAUM · $320M to $386M
    Aug 18, 2015 to Mar 24, 2016
  • Accounts · 0 to 1,047
    Jul 2, 2015 to Aug 18, 2015
  • Advisory employees · 0 to 3
    Jul 2, 2015 to Aug 18, 2015
  • BD registered reps · 0 to 4
    Jul 2, 2015 to Aug 18, 2015
  • Employees · 1 to 9
    Jul 2, 2015 to Aug 18, 2015
Signals
1 dated events
  • Mariner Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
    Apr 13, 2015 · 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