Legal

Disclosure Information

Mariner is the marketing name for the financial services businesses of Mariner Wealth Advisors, LLC and its subsidiaries. Investment advisory services are provided through the brands Mariner Wealth, Mariner Independent, Mariner Institutional, Mariner Ultra, and Mariner Workplace, each of which is a business name of the registered investment advisory entities of Mariner. For additional information about each of the registered investment advisory entities of Mariner, including fees and services, please contact Mariner or refer to each entity’s Form ADV Part 2A, which is available on the Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov. Registration of an investment adviser does not imply a certain level of skill or training. Please read the disclosure statement carefully before you invest or send money.

This website contains information regarding Mariner Independent and its affiliates. Mariner Independent does not provide all services listed on this site; some services are provided by affiliates and are subject to additional fees.

Affiliates (non-registered investment advisers):

  • Mariner Specialty Tax Services, LLC (“MSTS”) provides specialty tax services.
  • Mariner Trust Company, LLC (“MTC”) is a state chartered public trust company organized under the laws of South Dakota and provides administrative trust services and other related services.
  • Mariner Insurance Resources, LLC (“MIR”) provides insurance related services.
  • Woodbridge International, LLC provides investment banking and valuation advisory services.
    • Woodbridge International LLC (“Woodbridge”) provides investment banking services focused on mergers and acquisitions and may, where applicable, conduct certain limited securities activities in reliance on an exemption from broker-dealer registration under the Securities Exchange Act of 1934 and in compliance with all applicable federal and state laws. Broader securities transactions are conducted by Registered Representatives of W G Securities, LLC (“W G Securities”), a subsidiary of Woodbridge International LLC. W G Securities is a FINRA registered Capital Acquisition Broker, Member SIPC.
  • Mariner Financial Wellness, LLC (“MFW”) provides a financial wellness platform to companies.
  • MSEC, LLC is a registered broker/dealer and member FINRA and SIPC.

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 will come to pass.

Certain of our representatives are licensed insurance agents 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 Independent 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 Independent. Clients are reminded that they may purchase insurance products recommended by Mariner Independent through other, non-affiliated insurance agents.

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 it is not guaranteed. You should note that the materials are provided “as is” without any express or implied warranties.

Links to appearances and articles by Mariner Independent 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 Independent. Mariner Independent does not undertake to advise you of any changes in the views expressed herein.

Past performance is not a guarantee of future results. All investments involve a degree of risk, including the risk of loss.

By using this website, you acknowledge that you have read and understand the foregoing disclaimers and release Mariner Independent 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).