Webinar Disclosures

Webinar Disclosures

Mariner Wealth Advisors (“MWA”), is an SEC registered investment adviser with its principal place of business in the State of Kansas. Registration of an investment adviser does not imply a certain level of skill or training. MWA is in compliance with the current notice filing requirements imposed upon registered investment advisers by those states in which MWA maintains clients. MWA 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 MWA 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. For additional information about MWA, including fees and services, please contact MWA or refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov). Please read the disclosure statement carefully before you invest or send money. Securities Offered through MSEC, LLC, Member FINRA & SIPC, 5700 W. 112th Suite 500, Overland Park, KS 66211.

The MPS advisor does not provide all services listed in this piece. Some services are provided by affiliates and are subject to additional fees.

The views expressed are for commentary purposes only and do not take into account any individual personal, financial, legal or tax considerations. As such, the information contained herein is not intended to be personal legal, investment or tax advice. Nothing herein should be relied upon as such, and there is no guarantee that any claims made will come to pass. The opinions are based on information and sources of information deemed to be reliable, but Mariner Platform Solutions does not warrant the accuracy of the information.

Investment advisory services provided through Mariner Platform Solutions, LLC (“MPS”). MPS is an investment adviser registered with the SEC, headquartered in Overland Park, Kansas. Registration of an investment advisor does not imply a certain level of skill or training. MPS is in compliance with the current notice filing requirements imposed upon registered investment advisers by those states in which MPS transacts business and maintains clients. MPS is either notice filed or qualifies for an exemption or exclusion from notice filing requirements in those states. Any subsequent, direct communication by MPS 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. For additional information about MPS, including fees and services, please contact MPS or refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov). Please read the disclosure statement carefully before you invest or send money.

Investment Adviser Representatives (“IARs”) are independent contractors of MPS and generally maintain or affiliate with a separate business entity through which they market their services. The separate business entity is not owned, controlled by or affiliated with MPS and is not registered with the SEC. Please refer to the disclosure statement of MPS for additional information.

*Barron’s awarded the 2020 #5, 2019 #4 and 2018 #3 Top RIA Firms ranking to 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. The number of firms included in the rankings were: 20 (2016), 30 (2017), 40 (2018), 50 (2019) and 100 (2020). 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 also publishes four financial advisor rankings each year: The Top 100, The Top 100 Women, The Top 100 Independents and The Top 1,200, 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 these major components: assets managed, revenue produced, quality of practice, technology spending, staff diversity and succession planning. 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.

Barron’s Rankings

Barron’s – 2021 – Top Women Financial Advisors – Jana Shoulders #58

Barron’s – 2021 – Top Women Financial Advisors – Valerie Newell #5

Barron’s – 2021 – 2016 Top Advisor: Ohio – Valerie Newell #1

Barron’s – 2021 Top Advisor: Pennsylvania – Rob Thomas #1

Barron’s – 2021 Top Advisor: Kansas – Trey Barnes #3

Barron’s – 2021-2020 Top Advisor: Oklahoma – Jana Shoulders #6

Barron’s – 2021 Top Advisor: Nebraska – Jim Siemonsma #3

Barron’s – 2021 Top Advisor: New York – Justin McCarthy #49

Barron’s – 2020 Top 100 Independent Wealth Advisors – Valerie Newell #10

Barron’s – 2020 Top Women Financial Advisors – Valerie Newell #4

Barron’s – 2020 Top 100 Women Financial Advisors – Jana Shoulders #57

Barron’s – 2020 – 2016 Top Advisor: Ohio – Valerie Newell #1

Barron’s – 2020 Top Advisor: Pennsylvania – Rob Thomas #3

Barron’s – 2020 Top Advisor: Kansas – Trey Barnes #5

Barron’s – 2020 Top Advisor: Oklahoma – Jana Shoulders #6

Barron’s – 2020 Top Advisor: Nebraska – Jim Siemonsma #6

Barron’s – 2020 Top Advisor: New York – Justin McCarthy #93

Barron’s – 2019 Top Advisor: Oklahoma – Jana Shoulders #5

Barron’s – 2019 Top 50 Registered Investment Advisory Firms – Mariner Wealth Advisors #4

Barron’s – 2019 Top 100 Independent Wealth Advisors – Valerie Newell #9

Barron’s – 2019 Top 100 Women Financial Advisors – Valerie Newell #4

Barron’s – 2019 Top 100 Women Financial Advisors – Faith Read Xenos #68

Barron’s – 2019 Top 100 Women Financial Advisors – Jana Shoulders #91

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 awarded the 2019 #4 and 2018 #3 Top RIA Firms ranking to Mariner, LLC d/b/a Mariner Wealth Advisors

Forbes

2021 – Forbes ranked Patricia Kummer number 128 and Jana Shoulders number 269 out of 1,000 on the Top Women Wealth Advisors list.

2021 – Forbes ranked Jake Kern, Trey Barnes, Jana Shoulders, Faith Xenos,
Rob Thomas, Justin McCarthy, Jim Siemonsma, Keith Plywaczynski, Pamela Thompson and Patrick Kimbrough as Best-In-State Wealth Advisors.

2020 – Forbes ranked Valerie Newell number 47 and Jana Shoulders number 322 out of 1,000 on the Top Women Wealth Advisors list.

2020 – Forbes ranked Jake Kern, Jana Shoulders and Faith Xenos as Best-In-State Wealth Advisors.

Advisors are selected for the Forbes rankings by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. For additional information visit www.forbes.com

2020 –  Forbes ranked Keith Plywaczynski number 15 and Justin Richter number 346 as the Top Next-Gen Wealth Advisors on a list of 500 individuals. The Top Next-Gen list includes 500 rising advisors who help manage over $1 trillion in client assets. Each advisor was nominated by their firm, then vetted and ranked by SHOOK Research. Advisors do not pay a fee for placement on the list, which is independently determined by Shook Research. For advisors already on a ranking, there is a fee to be highlighted in bold. For more information related to the award, visit https://www.forbes.com/top-next-gen-advisors/#7b7678996df0. The award is not indicative of future performance and there is no guarantee of future investment success.

2019 – Forbes ranked Faith Xenos number 10 of 51 Top Wealth Advisors in the Miami, Florida, area.

For investment professional use only.

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