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 226646SEC 801-96342IAPD
Legal name Mariner Wealth Advisors-Chicago, LLC
Latest filing Mar 28, 2017
First filing on the tape May 18, 2015 · 10 filings
RAUM
$285M
reported, Item 5.F
Discretionary
100%
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$285M as of Mar 28, 2017
Mar 21, 2016$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 28, 2017
Mar 21, 20163 then
Employees (5.A)8 as of Mar 28, 2017
Mar 21, 20164 then
Private funds: no history
RAUM +80% over the last fiscal yearIARs 3 to 6
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
$47.5MderivedRAUM 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
$518,543derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+80%derivedbetween the last two annual amendments
Advisor growth, one year
+100%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, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
550reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
  • 7 left for Mariner
    Mar 31, 2018 · Oakbrook Terrace, Il · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Christopher Martin Bicknell · Chief Executive Officercontrol
      since 05/2015 · owns less than 5%
    • Andrew Mark Caplinger · Chief Investment Officercontrol
      since 05/2015 · owns less than 5%
    • Andrew Keith Plywaczynski · Member And Managing Partnercontrol
      since 09/2015 · owns 5% to 10%
    • Leigh Karen Sandnes · Operations Managercontrol
      since 05/2015 · owns less than 5%
    • Renee Cheryl Vohland · Chief Compliance Officercontrol
      since 05/2015 · owns less than 5%
    • Christopher Martin Bicknell · Elected Managercontrol
      since 07/2007 · owns F of Bicknell Family Holding Co., LLC
    Entity owners
    • 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
    • Oakbrook Terrace, IL
    • Plano, TX
    What changed
    consecutive filings, newest first
    • Accounts · 301 to 550
      Nov 23, 2016 to Mar 28, 2017
    • Advisory employees · 3 to 6
      Nov 23, 2016 to Mar 28, 2017
    • Employees · 4 to 8
      Nov 23, 2016 to Mar 28, 2017
    • Insurance-licensed employees · 0 to 6
      Nov 23, 2016 to Mar 28, 2017
    • HQ city · LEAWOOD to OVERLAND PARK
      Nov 23, 2016 to Mar 28, 2017
    • State-registered IARs · 3 to 6
      Nov 23, 2016 to Mar 28, 2017
    • Discretionary RAUM · $159M to $285M
      Nov 23, 2016 to Mar 28, 2017
    • RAUM · $159M to $285M
      Nov 23, 2016 to Mar 28, 2017
    • Accounts · 0 to 301
      Jan 11, 2016 to Mar 21, 2016
    • Advisory employees · 1 to 3
      Jan 11, 2016 to Mar 21, 2016
    • Advisory activities · 6 to 5
      Jan 11, 2016 to Mar 21, 2016
    • Employees · 1 to 4
      Jan 11, 2016 to Mar 21, 2016
    • Financial planning clients · 0 to 101-250
      Jan 11, 2016 to Mar 21, 2016
    • State-registered IARs · 1 to 3
      Jan 11, 2016 to Mar 21, 2016
    • Discretionary RAUM · $0 to $159M
      Jan 11, 2016 to Mar 21, 2016
    • RAUM · $0 to $159M
      Jan 11, 2016 to Mar 21, 2016
    • Advisory employees · 0 to 1
      Aug 20, 2015 to Sep 4, 2015
    • Employees · 0 to 1
      Aug 20, 2015 to Sep 4, 2015
    • State-registered IARs · 0 to 1
      Aug 20, 2015 to Sep 4, 2015
    • Legal name · MARINER WEALTH ADVISORS-PACIFIC NORTHWEST, LLC to MARINER WEALTH ADVISORS-CHICAGO, LLC
      Aug 20, 2015 to Sep 4, 2015
    • Legal name · MARINER WEALTH ADVISORS-SEATTLE, LLC to MARINER WEALTH ADVISORS-PACIFIC NORTHWEST, LLC
      Jun 9, 2015 to Aug 20, 2015
    Signals
    1 dated events
    • Mariner Wealth Advisors filed its initial SEC registration (Form ADV)
      May 18, 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