CIK 1546408
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q3. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-03-26). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-03-26. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BICKNELL, CHERYL, RENEE | CHIEF OPERATING OFFICER | 2024-01 | <5% ·◆ |
| BICKNELL, MARTIN, CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2024-01 | <5% ·◆ |
| POE, JEFFREY, ALLEN | CHIEF FINANCIAL OFFICER | 2024-01 | <5% ·◆ |
| DORIAN, ANNE, JENELLE | GENERAL COUNSEL | 2024-01 | <5% |
| ELMORE, DEANN, MICHELE | DEPUTY CHIEF OPERATING OFFICER | 2026-03 | <5% |
| KIEFER-GOLDENBERG, MAUREEN, KIM | CHIEF COMPLIANCE OFFICER | 2024-01 | <5% |
| PIERCE, JOSHUA, TOWNSEND | MANAGING DIRECTOR | 2024-12 | <5% |
| MARINER WEALTH ADVISORSentity | MANAGING MEMBER | 2024-01 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2023-Q4). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| POINTER, KENNY | CHIEF SERVICES OFFICER | 2024-04 | — not seen at a tracked firm |
| RADENBERG, KATRINA, DELORES | CHIEF INVESTMENT OFFICER | 2024-01 | — not seen at a tracked firm |
| O'CONNOR, THOMAS, NEAL | PRESIDENT / CHIEF COMPLIANCE OFFICER · MANAGING MEMBER / CHIEF COMPLIANCE OFFICER · MANAGING MEMBER | 2023-11 | CATALYST FINANCIAL PARTNERS LLC |
| PORTER, DAVID, CRAIG | CHAIRMAN · MANAGING MEMBER | 2023-11 | CATALYST FINANCIAL PARTNERS LLC |
| COGSWELL, JOHN, PATRICK | CHIEF MARKET STRATEGIST | 2021-12 | — not seen at a tracked firm |
| PINTO, GREGORY, JUDE | MANAGING MEMBER | 2019-11 | — not seen at a tracked firm |
| LEDGEWOOD, JILL, CHRISTINE | CHIEF COMPLIANCE OFFICER | 2019-01 | — not seen at a tracked firm |
| NGAN, SUSANA, (MNM) | CHIEF COMPLIANCE OFFICER | 2016-01 | — not seen at a tracked firm |
| YOKEN, MICHAEL, ALAN | MANAGING MEMBER | 2012-07 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
