Mariner

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

The brochure lists different fees for different services or strategies. See the firm's brochure (dated July 17, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$125,408,489,288 as of October 2026, filing dated August 5, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for pooled investment vehicles (other than investment companies)
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Publication of periodicals or newsletters
• Educational seminars/workshops
• Other

Legal name

Mariner, LLC

Also doing business as

ADVICEPERIOD, MARINER INSTITUTIONAL, MARINER ULTRA, MARINER WEALTH, MARINER WEALTH ADVISORS

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2006 (20 years)

Employees

Total: 1,889. Performing investment advisory functions: 933.

Wrap fee program participation

Yes.

Custodians (Schedule D, Section 5.K(3))

Charles Schwab & Co., Inc.National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

118 other offices, as of the September 2026 filing

Albuquerque, NMAmarillo, TXAustin, TXBeachwood, OHBellevue, WABentonville, ARBerwyn, PABethesda, MDBethlehem, PABirmingham, ALBloomfield Hills, MIBloomington, MNBlue Ash, OHBoise, IDBrentwood, MOBrookfield, WICambridge, MACanton, OHCarlsbad, CACenter Valley, PACharlotte, NCChatham, NJChattanooga, TNCincinnati, OHColumbus, OHConcord, NHCoral Gables, FLCorte Madera, CADanville, CADedham, MAEl Segundo, CAEmeryville, CAEnglewood, COEugene, ORFairfield, CTFargo, NDFlorham Park, NJFort Wayne, INFranklin, TNFullerton, CAGrand Rapids, MIGreenville, SCHighlands Ranch, COHouston, TXIndianapolis, INKnoxville, TNLexington, KYLittle Rock, ARLos Altos, CALos Angeles, CALouisville, KYManasquan, NJMarlborough, MAMcLean, VAMcMinnville, ORMechanicsburg, PAMemphis, TNMetairie, LAMiddleton, WIMiramar Beach, FLMorgan Hill, CAMt Pleasant, SCNaples, FLNashville, TNNew Albany, INNew London, NHNew York, NYNewport Beach, CANovi, MIOakbrook Terrace, ILOklahoma City, OKOmaha, NEOrlando, FLPalm Beach Gardens, FLPark City, UTPensacola, FLPhoenix, AZPittsburg, KSPittsburgh, PAPlano, TXPleasanton, CAPortland, ORPortsmouth, NHPortsmouth, RIRaleigh, NCRapid City, SDRedding, CAReno, NVRochester, NYSacramento, CASan Antonio, TXSan Diego, CASan Jose, CASan Juan, PRSan Rafael, CASandy Springs, GASarasota, FLScottsdale, AZSioux Falls, SDSpokane, WASt George, UTState College, PASyracuse, NYTacoma, WATallahassee, FLTampa, FLTucson, AZTulsa, OKVancouver, WAVentura, CAWalnut Creek, CAWest Chester, OHWest Hartford, CTWest des Moines, IAWhite Plains, NYWichita, KSWilmington, DEWoodland Hills, CA

States registered or notice-filed

53 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

2 Reports 2 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $34,961,178,869 in the October 2021 data and $125,408,489,288 in the October 2026 data, up 259%.

Total employees: 702 in October 2021 and 1,889 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. September 2026
   • Updated its list of owners and control persons (Schedule A).
2. April 2026
   • Added the business name Mariner Wealth.
   • Employees performing advisory functions went from 803 to 933.
   • Regulatory assets under management went from $98,603,233,201 to $125,408,489,288 (+27%).
   • Changed its office addresses in Bethesda, MD.
   • Changed its office addresses in Bloomfield Hills, MI.
   • Changed its office addresses in Cincinnati, OH.
   • Changed its office addresses in Eugene, OR.
   • Changed its office addresses in Fargo, ND.
   • Changed its office addresses in Oakbrook Terrace, IL.
   • Changed its office addresses in Omaha, NE.
   • Changed its office addresses in Pittsburgh, PA.
   • Changed its office addresses in Plano, TX.
   • Changed its office addresses in Rapid City, SD.
   • Changed its office addresses in San Diego, CA.
   • Added an office in Carlsbad, CA.
   • Added an office in Columbus, OH.
   • Added an office in Florham Park, NJ.
   • Added an office in Fort Wayne, IN.
   • Added an office in Lexington, KY.
   • Added an office in Little Rock, AR.
   • Added an office in Los Altos, CA.
   • Added an office in Middleton, WI.
   • Added an office in New York, NY.
   • Added an office in Park City, UT.
   • Added an office in Pensacola, FL.
   • Added an office in Portsmouth, NH.
   • Added an office in Portsmouth, RI.
   • Added an office in Reno, NV.
   • Added an office in Rochester, NY.
   • Added an office in San Juan, PR.
   • Added an office in San Rafael, CA.
   • Added an office in Sandy Springs, GA.
   • Added an office in St George, UT.
   • Added an office in Syracuse, NY.
   • Added an office in Tacoma, WA.
   • Added an office in Tallahassee, FL.
   • Added an office in Tampa, FL.
   • Added an office in Vancouver, WA.
   • No longer lists an office in Atlanta, GA.
   • No longer lists an office in Charleston, SC.
   • No longer lists an office in Herndon, VA.
   • No longer lists an office in Kirkland, WA.
   • No longer lists an office in Madison, NJ.
   • No longer lists an office in Menlo Park, CA.
   • No longer lists an office in Miramar Beach, FL.
   • No longer lists an office in Roseland, NJ.
   • No longer lists an office in Salt Lake City, UT.
   • No longer lists an office in Sarasota, FL.
   • No longer lists an office in Sioux Falls, SD.
   • No longer lists an office in Wilmington, DE.
   • Updated its list of owners and control persons (Schedule A).

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.