Retirement Plan Solutions Team Accolades
Our team is certified by The Center for Fiduciary Excellence (CEFEX) as meeting the standards described in the handbook, Prudent Practices for Investment Advisors.
The team, previously known as Mariner Retirement Advisors, has achieved this certification for five years running after meeting the standards described in the handbook.
The standards describe how an investment advisor assumes the responsibility for managing a client’s overall investment management process, which includes the selection, monitoring and de-selection of investment managers, as well as developing processes to implement investment strategies and fiduciary practices on an ongoing basis.
These practices also include maintaining a fiduciary checklist for each of our retirement plan clients to help ensure proper fiduciary governance and compliance with ERISA and implementing best practices as described by the Department of Labor. The independent CEFEX Investment Advisor certification demonstrates fiduciary responsibility at the firm, based on a best-practice standard.
Ranked on National Association of Plan Advisors Top Women Advisors in 2020, 2019, 2018, 2017 & 2016.
Mariner Wealth Advisors has also been recognized by:
The Financial Times 401 Top Retirement Plan Advisors was specifically awarded to President and Founder of Mariner Retirement Advisors, now the Retirement Plan Solutions Division of Mariner Wealth Advisors, David Stofer. The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas, including DC plan assets under management, growth in DC plan business, specialization in DC plan business, and other factors. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to The Financial Times in exchange for inclusion in the FT 401.
The “PLANADVISER Top 100 Retirement Plan Advisers” list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. For an adviser to be eligible for recognition in this year’s Top 100, he had to submit a completed entry to the Retirement Plan Adviser Survey, which was fielded this past September. A sub-segment of the questions was used to determine eligibility for the Top 100.
Mariner Wealth Advisors was named in the National Association of Plan Advisors’ (NAPA) list of Top DC Advisor firms for 2020. The list is based on information provided by the firm including total asset value, total number of plans and total participants of defined contribution plans supported as of 12/31/20. The full list of firms will be published in the winter issue of NAPA Net and is also available online at https://www.napa-net.org/news-info/daily-news/announcing-napa-top-dc-advisor-teams.
In 2016-2017, 2019-2020, Dawn McPherson was recognized as a Captain as an All-Star Advisor on the National Association of Plan Advisors’ (NAPA) list of Top Women Advisors. In 2015, she was also named MVP by NAPA. In 2016-2017, Angie Rosson was recognized as an All-Star Advisor and in 2018-2020 Angie was recognized as a Rising Star Advisor on the National Association of Plan Advisors’ (NAPA) list of Top Women Advisors. In 2019-2020, Tami Chavez Ledger was recognized as a Rising Star on the Top Women Advisors list. The NAPA Top Women Advisors were selected from nearly 500 (2016), 600 (2017), 500 (2018, 2019) and more than 550 (2020). Nominees were asked to respond to a series of questions, both quantitative and qualitative, about their experience and practice. Those questions were then reviewed on an anonymous basis by a panel of judges. Selected women were honored in three separate categories: Captains, (all-stars who happen to be principals, owners or tam captains of their organizations); All-Stars (top producers who have their own practice); and Rising Stars, (top producers who have less than five years of experience with retirement plans as a financial advisor).
For 2019 and 2020, Thomas Hardy is recognized as a “Young Gun,” rebranded as “Aces” on the National Association of Plan Advisors’ (NAPA) list of Top 100 Retirement Plan Advisors Under 40.The 2020 NAPA Aces were selected from over 600 nominations submitted to NAPA, and the 2019 Young Guns were selected from over 500 nominations. The individuals nominated are vetted by a panel of senior advisors from the industry based on a combination of quantitative and qualitative data submitted by the nominees. 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.
Mariner Wealth Advisors is certified by The Center for Fiduciary Excellence (CEFEX) as meeting the standards described in the handbook “Prudent Practices for Investment Advisors.” The standard describes how an investment adviser assumes the responsibility for managing a client’s overall investment management process, which includes the selection, monitoring and de-selection of investment managers, as well as developing processes to implement investment strategies and fiduciary practices on an ongoing basis. These practices also include maintaining a fiduciary checklist for each of our clients to ensure proper fiduciary governance and compliance with ERISA and implementing best practices as described by the Department of Labor.