# Mariner

> Mariner is an SEC-registered investment advisory firm in Overland Park, KS, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 5, 2026.

- CRD: 140195
- Filed as: MARINER
- 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)
- Location: Overland Park, KS
- Filing period: October 2026
- Form ADV filing dated: August 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/140195
- AdvisorCensus page: https://advisorcensus.com/firm/mariner-overland-park-ks-140195

## Quick answers

**How is Mariner compensated?**
On its Form ADV (Item 5.E, October 2026), Mariner reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Mariner located?**
Mariner's principal office is in Overland Park, KS, according to its Form ADV; the September 2026 filing also lists 118 other offices (Schedule D, Section 1.F).

**Is Mariner registered with the SEC or a state?**
Mariner is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 140195.

**How much does Mariner manage?**
Mariner reports $125,408,489,288 in regulatory assets under management in its Form ADV filing dated August 5, 2026 (98% discretionary).

**How have Mariner's assets and staff changed since 2021?**
In the Form ADV data for Mariner: 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. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Mariner serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (32,261); high net worth individuals (22,322); pension and profit sharing plans (but not the plan participants or government pension plans) (458).

**Which custodians does Mariner use?**
Mariner's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Mariner report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/140195

**What changed in Mariner's recent Form ADV filings?**
In the September 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### 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.

### Regulatory assets under management (Item 5.F)
- Total: $125,408,489,288
- Discretionary: $123,188,072,311
- Non-discretionary: $2,220,416,977

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 32,261 | $10,674,559,823 |
| High net worth individuals | 22,322 | $104,872,690,875 |
| Banking or thrift institutions | 56 | $3,993,178,008 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $9,243,563 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 458 | $3,803,929,788 |
| Charitable organizations | 145 | $683,830,768 |
| State or municipal government entities (including government pension plans) | 1 | $13,184,937 |
| Other investment advisers | 6 | $205,159,355 |
| Insurance companies | 4 | $273,004,280 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 257 | $879,707,891 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2006 (20 years)
- Employees: 1,889 total, 933 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/140195

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Albuquerque, NM
- Amarillo, TX
- Austin, TX
- Beachwood, OH
- Bellevue, WA
- Bentonville, AR
- Berwyn, PA
- Bethesda, MD
- Bethlehem, PA
- Birmingham, AL
- Bloomfield Hills, MI
- Bloomington, MN
- Blue Ash, OH
- Boise, ID
- Brentwood, MO
- Brookfield, WI
- Cambridge, MA
- Canton, OH
- Carlsbad, CA
- Center Valley, PA
- Charlotte, NC
- Chatham, NJ
- Chattanooga, TN
- Cincinnati, OH
- Columbus, OH
- Concord, NH
- Coral Gables, FL
- Corte Madera, CA
- Danville, CA
- Dedham, MA
- El Segundo, CA
- Emeryville, CA
- Englewood, CO
- Eugene, OR
- Fairfield, CT
- Fargo, ND
- Florham Park, NJ
- Fort Wayne, IN
- Franklin, TN
- Fullerton, CA
- Grand Rapids, MI
- Greenville, SC
- Highlands Ranch, CO
- Houston, TX
- Indianapolis, IN
- Knoxville, TN
- Lexington, KY
- Little Rock, AR
- Los Altos, CA
- Los Angeles, CA
- Louisville, KY
- Manasquan, NJ
- Marlborough, MA
- McLean, VA
- McMinnville, OR
- Mechanicsburg, PA
- Memphis, TN
- Metairie, LA
- Middleton, WI
- Miramar Beach, FL
- Morgan Hill, CA
- Mt Pleasant, SC
- Naples, FL
- Nashville, TN
- New Albany, IN
- New London, NH
- New York, NY
- Newport Beach, CA
- Novi, MI
- Oakbrook Terrace, IL
- Oklahoma City, OK
- Omaha, NE
- Orlando, FL
- Palm Beach Gardens, FL
- Park City, UT
- Pensacola, FL
- Phoenix, AZ
- Pittsburg, KS
- Pittsburgh, PA
- Plano, TX
- Pleasanton, CA
- Portland, OR
- Portsmouth, NH
- Portsmouth, RI
- Raleigh, NC
- Rapid City, SD
- Redding, CA
- Reno, NV
- Rochester, NY
- Sacramento, CA
- San Antonio, TX
- San Diego, CA
- San Jose, CA
- San Juan, PR
- San Rafael, CA
- Sandy Springs, GA
- Sarasota, FL
- Scottsdale, AZ
- Sioux Falls, SD
- Spokane, WA
- St George, UT
- State College, PA
- Syracuse, NY
- Tacoma, WA
- Tallahassee, FL
- Tampa, FL
- Tucson, AZ
- Tulsa, OK
- Vancouver, WA
- Ventura, CA
- Walnut Creek, CA
- West Chester, OH
- West Hartford, CT
- West des Moines, IA
- White Plains, NY
- Wichita, KS
- Wilmington, DE
- Woodland Hills, CA

### Websites listed on Form ADV (Item 1.I)
- adviceperiod.com
- joinmariner.com
- mariner.com
- marinerwealthadvisors.com
- mcd.marinerwealthadvisors.com
- microsoft.marinerwealthadvisors.com
- mistercarwash.marinerwealthadvisors.com
- myapplestock.com
- partnering.marinerwealthadvisors.com
- partnerwithmariner.com
- pg.marinerwealthadvisors.com
- srs.mariner.com
- Facebook @AccessMariner
- Facebook @AdvicePeriodLLC
- Instagram @accessmariner
- Instagram @adviceperiod_llc
- Instagram @marinerwealthadvisors
- LinkedIn @access-mariner
- LinkedIn @adviceperiod
- LinkedIn @mariner-wealth-advisors
- YouTube @MarinerWealthAdvisor

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $34,961,178,869 | 702 | July 30, 2021 |
| October 2022 | $55,432,642,278 | 934 | September 15, 2022 |
| October 2023 | $65,874,566,238 | 1,465 | March 30, 2023 |
| October 2024 | $81,106,925,484 | 1,498 | March 28, 2024 |
| October 2025 | $98,603,233,201 | 1,503 | March 28, 2025 |
| October 2026 | $125,408,489,288 | 1,889 | August 5, 2026 |

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.

## Changes in the filing (last 12 months)

### September 2026
- Updated its list of owners and control persons (Schedule A).

### 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Mariner (CRD 140195): Form ADV filing data as of October 2026.