Legal

Disclosure Information

Mariner, LLC, dba Mariner Wealth Advisors, is an SEC registered investment adviser. Registration of an investment advisor does not imply a certain level of skill or training. Mariner Wealth Advisors is in compliance with the current notice filing requirements imposed upon SEC registered investment advisers by those states in which Mariner Wealth Advisors maintains clients. Mariner Wealth Advisors may only transact business in those states in which it is notice filed or qualifies for an exemption or exclusion from notice filing requirements. Any subsequent, direct communication by Mariner Wealth Advisors with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.

This website contains information regarding Mariner Wealth Advisors and its subsidiaries and affiliates.

This website is limited to the dissemination of general information pertaining to investment advisory/management services provided by Mariner Wealth Advisors and its subsidiaries and/or affiliates. The information contained herein should not be construed as personalized investment, legal, tax or insurance advice and should not be considered as a solicitation to buy or sell any security or engage in a particular investment strategy. There is no guarantee that the views and opinions expressed in this guide will come to pass.

Alternative investments encompass a broad array of strategies, each with its own unique return and risk characteristics that must be considered on a case-specific basis. 

If we determine that it is appropriate based on the client’s investment objectives, we will recommend affiliate investment advisers’ services to manage a portion of a client’s assets. These affiliate investment advisers charge fees in addition to and separate from the fees charged by Mariner Wealth Advisors. Clients are advised that a conflict of interest exists to the extent we recommend affiliate investment adviser services.  

If we determine that it is appropriate based on the client’s investment objectives and investor status, clients are solicited to invest in investment-related limited partnerships or limited liability companies for which one of our related persons serves as the general partner or manager. These limited partnerships or limited liability companies charge fees in addition to and separate from the fees charged by Mariner Wealth Advisors. Clients are advised that a conflict of interest exists to the extent we recommend these investments.  

Certain of our representatives are licensed insurance agents with affiliated companies and in such capacity may recommend on a fully disclosed basis the purchase of certain insurance-related products. These individuals are compensated for the sale of these insurance-related products. The recommendation by a representative of Mariner Wealth Advisors that a client purchase an insurance commission product presents a conflict of interest, as the receipt of commission may provide an incentive to recommend investment products based on commissions received, rather than on a particular client’s need.  No client is under any obligation to purchase any commission products from a representative of Mariner Wealth Advisors.  Clients are reminded that they may purchase insurance products recommended by Mariner Wealth Advisors through other, non-affiliated insurance agents.  

For additional information about Mariner Wealth Advisors or its subsidiaries and affiliates, including fees, services provided, please contact us or refer to the Investment Adviser Public Disclosure website. Please read the disclosure statement carefully before you invest or send money. To read our Form ADV, please click one of the following links:

Securities offered through MSEC, Member FINRA /SIPC.

General Disclaimer 

Information included on this website may include statements concerning financial market trends and/or individual stocks, and are based on current market conditions, which will fluctuate and may be superseded by subsequent market events or for other reasons. Historic market trends are not reliable indicators of actual future market behavior or future performance of any particular investment which may differ materially, and should not be relied upon as such. The investment strategy and broad themes discussed herein may be unsuitable for prospective or current clients depending on their specific investment objectives and financial situation. Information contained in the material has been obtained from sources believed to be reliable, but not guaranteed. You should note that the materials are provided "as is" without any express or implied warranties. Past performance is not a guarantee of future results. All investments involve a degree of risk, including the risk of loss. Links to appearances and articles by Mariner Wealth Advisors and its affiliates, members, officers, employees, whether in the press, on television or otherwise, are provided for informational purposes only and in no way should be considered a recommendation of any particular investment product, vehicle, service or instrument or the rendering of investment advice, which must always be evaluated by a prospective client in consultation with his or her own wealth advisor and in light of his or her own circumstances, including but not limited to the client’s investment horizon and risk tolerance.  Investing is subject to market risks. Clients acknowledge and accept the potential loss of some or all of an investment's value. Views represented are subject to change at the sole discretion of Mariner Wealth Advisors. Mariner Wealth Advisors does not undertake to advise you of any changes in the views expressed herein.

Terms of Use

These "Terms of Use" set forth the terms and conditions that apply to your use of www.marinerwealthadvisors.com (the "website"). By using the website (other than to read this page for the first time), you agree to comply with all of the Terms of Use set forth herein. The right to use the website is personal to you and is not transferable to any other person or entity.

Copyrights and Trademarks
A. No person is authorized to use, copy or distribute any portion of the website, including related graphics.
B. Mariner Wealth Advisors and other trademarks and/or service marks (including logos and designs) found on the Web Site are trademarks/service marks that identify Mariner Wealth Advisors and the goods and/or services provided by Mariner Wealth Advisors. Such marks may not be used under any circumstances without the prior written authorization of Mariner Wealth Advisors.

Links to Third-Party Websites - Mariner Wealth Advisors may provide hyperlinks to third-party websites as a convenience to users of the website. Mariner Wealth Advisors does not control third-party websites and is not responsible for the contents of any linked-to, third-party websites or any hyperlink in a linked-to website. Mariner Wealth Advisors does not endorse, recommend or approve any third-party website hyperlinked from the website. Mariner Wealth Advisors will have no liability to any entity for the content or use of the content available through such hyperlink.

No Representations or Warranties; Limitations on Liability - The information and materials on the website could include technical inaccuracies or typographical errors. Changes are periodically made to the information contained herein. Mariner Wealth Advisors MAKES NO REPRESENTATIONS OR WARRANTIES WITH RESPECT TO ANY INFORMATION, MATERIALS OR GRAPHICS ON THE WEBSITE, ALL OF WHICH IS PROVIDED ON A STRICTLY "AS IS" BASIS, WITHOUT WARRANTY OF ANY KIND AND HEREBY EXPRESSLY DISCLAIMS ALL WARRANTIES WITH REGARD TO ANY INFORMATION, MATERIALS OR GRAPHICS ON THE WEB SITE, INCLUDING ALL IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT. UNDER NO CIRCUMSTANCES SHALL THE SITE OWNER OR PUBLISHER BE LIABLE UNDER ANY THEORY OF RECOVERY, AT LAW OR IN EQUITY, FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION, SPECIAL, DIRECT, INCIDENTAL, CONSEQUENTIAL OR PUNITIVE DAMAGES (INCLUDING, BUT NOT LIMITED TO LOSS OF USE OR LOST PROFITS), ARISING OUT OF OR IN ANY MANNER CONNECTED WITH THE USE OF INFORMATION OR SERVICES, OR THE FAILURE TO PROVIDE INFORMATION OR SERVICES, FROM THE WEBSITE.

By using this website, you acknowledge that you have read and understand the foregoing disclaimers and release Mariner Wealth Advisors and its affiliates, members, officers, employees and agents from any and all liability whatsoever relating to your use of this site, any such links, or any information contained herein or in any such appearances or articles (whether accessed through such links or downloaded directly from this website).

Third‐party rankings and recognitions are no guarantee of future investment success and do not ensure that a client will experience a certain level of performance or results. These ratings should not be construed as an endorsement of the adviser nor are they representative of client evaluations. Generally, ratings, rankings, and recognition are based on information submitted by the adviser.

Barron’s Rankings

Barron’s – 2019 Top Women Financial Advisors – Valerie Newell #4
Barron’s – 2019 Top Women Financial Advisors – Faith Reed Xenos #68
Barron’s – 2019 Top Women Financial Advisors – Jana Shoulders #91
Barron’s – 2019 Top Advisor: Oklahoma – Jana Shoulders #5
Barron’s – 2019 - 2016 Top Advisor: Ohio – Valerie Newell #1
Barron's – 2018 Top 40 Registered Investment Advisory Firms -- Mariner Wealth Advisors #3
Barron’s – 2017 Top 20 Independent Advisory Firm – Mariner Holdings #2
Barron’s – 2017 Top Women Financial Advisors – Valerie Newell #4
Barron’s – 2016 Top 20 Independent Advisory Firm – Mariner Holdings #1
Barron’s – 2016 Top 100 Independent Wealth Advisors – Valerie Newell #20
Barron’s – 2016 Top Women Financial Advisors – Valerie Newell #4
Barron’s – 2018 Top Women Financial Advisors – Valerie Newell #3
Barron’s – 2018 Top Women Financial Advisors – Jana Shoulders #78
Barron’s – 2015 Top 100 Independent Wealth Advisors – Valerie Newell #29
Barron’s – 2014 Top 100 Independent Wealth Advisors – Martin Bicknell #2

Barron’s awarded the 2018 #3 Top 40 RIA Firms ranking to Mariner, LLC d/b/a Mariner Wealth Advisors based on data compiled for Mariner Wealth Advisors and the 2017 #2 and 2016 #1 rankings to Mariner Holdings based upon data compiled for Mariner Holdings’ registered investment adviser subsidiaries. Barron's has transitioned the name of the 2016 inaugural award of Top Independent Advisory Firms to the Top RIA Firms. Each year since inception, Barron's has increased the number of firms included in the rankings from 20 (2016) to 30 (2017) to 40 firms (2018). Barron’s publishes these lists based upon a number of criteria and the firms’ filings with the SEC were used to cross-check the data provided to Barron’s. The listing includes the firms’ numbers of clients, employees, advisors, offices and state locations. The award is not indicative of future performance and there is no guarantee of future investment success. Registration of an investment advisor does not imply a certain level of training or skill.

Barron’s publishes these lists based upon a number of criteria and the firms’ filings with the SEC were used to cross-check the data provided to Barron’s. The listing includes the firms’ numbers of clients, employees, advisors, offices and state locations. The award is not indicative of future performance and there is no guarantee of future investment success. Barron’s also publishes four financial advisor rankings each year: The Top 100, The Top 100 Women, The Top 100 Independents and The Top 1,000, in which advisors are ranked on a state-by-state basis. The rankings are based on data provided by individual advisors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms and conversations with individual advisors. The formula Barron’s uses to rank advisors is proprietary. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor’s returns are dictated largely by the risk tolerance of clients. The quality-of-practice component includes an evaluation of each advisor’s regulatory record. For additional information visit www.barrons.com

CNBC Ranking

CNBC Top-Rated Wealth Management Firms – Top 100 Fee-only Wealth Management Firms of 2014 Adams Hall Wealth Advisors ranked #6 (currently Mariner Wealth Advisors-Oklahoma). The CNBC Digital editorial team, along with Meridian-IQ, created the following ranking methodology for its Top 100 Fee-Only Wealth Management Firms rankings. Scores for each measure listed below were weighted according to a proprietary formula to arrive at a final total rank: Assets under management, having staff with professional designations such as a CFP or CFA, working with third-party professionals such as attorneys or CPAs, average account size, client segmentation Growth of assets, years in business Number of advisory clients, providing advice on insurance solutions.
Firms with greater AUM totals were given a higher ranking in the case of numerical ties of the above formula. The Meridian/AdviceIQ team then applied the formula to the Meridian-IQ database of all RIAs to create the list. The final step to create the Top 100 Fee-Only Wealth Management Firms list for CNBC.com was to apply the AdviceIQ Regulatory Compliance Review (RCR) process to the master list and eliminate any firm that failed the RCR process. The RCR process is a due-diligence process whereby each advisory firm was compared to the RCR database of all regulatory actions from all four primary regulators: SEC, FINRA, state regulators and state insurance commissioners. In order to pass the RCR process, an advisory firm cannot have any complaints, actions or disclosures from any of the above regulators. For additional information visit www.cnbc.com

WealthManagement.com

The Top 10 Women-Owned RIAs of 2015 – Jana Shoulders ranked #5. REP’s Top 25 Women-Owned RIAs list was assembled using data from SEC filings and Meridian-IQ (in which Penton Media has a stake). Advisors are ranked by their firm’s total assets under management. To land on the list, female advisors were required to directly own at least 25 percent of the firm. Additionally, these women have at least some individual clients for whom they do financial planning, and have no more than 50 percent institutional clients. Finally, none of the RIAs on the list operates a broker/dealer or a bank, or is affiliated with an investment company. For additional information visit www.wealthmanagement.com

FA Magazine

2015 RIA Ranking, Asset Category: $1 Billion and Over – Mariner Wealth Advisors #14; 2014 RIA Ranking, Asset Category: $1 Billion and Over – Mariner Wealth Advisors #15. The 2014 and 2015 FA Magazine rankings are based upon information compiled using data for Mariner Wealth Advisors, LLC and its majority owned subsidiary registered investment advisory firms. For additional information visit www.fa-mag.com

Financial Times

300 Top Registered Investment Advisers 2018 – Mariner Wealth Advisors-Cincinnati and Mariner Wealth Advisors-Overland Park. 300 Top Registered Investment Advisers 2016 – RiverPoint Capital Management (currently Mariner Wealth Advisors-Cincinnati) and Mariner Wealth Advisors-Oklahoma. To ensure a list of established companies with deep, institutional expertise, Financial Times examined the database of RIAs registered with the US Securities and Exchange Commission and selected those that reported to the SEC that they had $300m or more in assets under management (AUM). The Financial Times’ methodology is quantifiable and objective. The RIAs had no subjective input. The FT invited qualifying RIA companies — more than 1,500 — to complete a lengthy application that provided more information. This was added to their own research into firm practices, including data from regulatory filings. Some 520 RIA companies applied and 300 made the final list. The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record, and online accessibility. Assets under management and asset growth, combined, comprised roughly 80 to 85 per cent of each adviser’s score. Additionally, the FT caps the number of companies from any one state. The cap is roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Distribution Research, a Financial Times sister publication. For additional information visit www.ft.com

Forbes

2015 - Mariner Wealth Advisors, LLC ranked 12th among Top 100 Wealth Managers with $10 billion under management. The 2015 Forbes ranking is based upon information compiled using data for Mariner Wealth Advisors, LLC and its majority owned subsidiary registered investment advisory firms. Data for the Top Wealth Managers list is compiled by RIA Database. Candidate firms qualify based on both quantitative and qualitative criteria. In 2015 the list was expanded to 100 firms, ranked by assets under management for year-end 2014, reported as of March 31, 2015. Members of the list must have managed at least 50 percent of their assets on behalf of retail clients, cannot run a broker-dealer (they can be affiliated with one), cannot be a bank (trust companies are permitted), and must be performing wealth management services. Firms cannot have had any regulatory, civil or criminal disclosures. The list looks beyond exclusively fee-only advisors. For additional information visit www.forbes.com

ThinkAdvisor

2016 – Marty Bicknell, CEO of Mariner Wealth Advisors, named an Innovator Entrepreneur – The 2016 IA 25

Financial Planning Magazine

Adams Hall Wealth Advisors (currently Mariner Wealth Advisors-Oklahoma) and RiverPoint Capital Management (currently Mariner Wealth Advisors - Cincinnati) were ranked among the 100 Top Fee-Only Firms in 2014. Discovery Data compiled the rankings based on discretionary and nondiscretionary assets under management listed on SEC Form ADV. To capture independent fee-only planning firms, every effort is made to exclude firms with broker-dealer and insurance company affiliations and those with substantial outside ownership stakes held by private equity firms and some outside investors. The list also does not include roll-ups, aggregators or turnkey asset management programs. To capture firms that provide true holistic financial advice to individuals, only firms with 50 percent or more individual clients, as can be determined through the Form ADV, are included. Subjective review of unusual cases may result in inclusion or exclusion based on factors unique to those firms. As the RIA industry evolves, so does the criteria. For additional information visit www.financial-planning.com