AdvicePeriod is an other business name and brand utilized by both Mariner, LLC and Mariner Platform Solutions, LLC, each of which is an SEC registered investment adviser. Registration of an investment adviser does not imply a certain level of skill or training. Each firm is in compliance with the current notice filing requirements imposed upon SEC registered investment advisers by those states in which each firm maintains clients. Each firm 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 an advisor 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 Mariner, LLC or Mariner Platform Solutions, LLC, including fees and services, please contact us utilizing the contact information provided herein 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.
For additional information as to which entity your wealth advisor is registered as an investment adviser representative, please refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov) or the Form ADV 2B provided to you. Investment adviser representatives of Mariner, LLC dba AdvicePeriod are generally employed by Mariner Wealth Advisors, LLC (our parent company). Investment Adviser Representatives (“IARs”) of Mariner Platform Solutions, LLC dba AdvicePeriod are independent contractors and many maintain or affiliate with a separate business entity through which they provide additional services. The separate business entity is not owned, controlled by or affiliated with Mariner Wealth Advisors and is not registered with the SEC.
This website is limited to the dissemination of general information pertaining to our investment advisory services and general economic market conditions. The views expressed are for commentary purposes only and do not take into account any individual personal, financial, or tax considerations. As such, the information contained herein is not intended to be personal legal, investment or tax advice or a solicitation to buy or sell any security or engage in a particular investment strategy. Nothing herein should be relied upon as such, and there is no guarantee that any claims made will come to pass. Any opinions and forecasts contained herein are based on information and sources of information deemed to be reliable, but we do not warrant the accuracy of the information that this opinion and forecast is based upon. You should note that the materials are provided “as is” without any express or implied warranties. Opinions expressed are subject to change without notice and are not intended as investment advice or to predict future performance. Past performance does not guarantee future results. Consult your financial professional before making any investment decision. Alternative investments encompass a broad array of strategies, each with its own unique return and risk characteristics that must be considered on a case-specific basis.
Certain of our firm’s associated persons are licensed insurance agents and in such capacity recommend the purchase of certain insurance-related products. These individuals are compensated for the sale of these insurance-related products. The recommendation that a client purchase an insurance commission product through an affiliate is a conflict of interest, as the receipt of commission provides an incentive to recommend investment products based on commissions received, rather than on a particular client’s need. We receive compensation from our affiliated insurance company in addition to the indirect financial incentive to recommend the affiliate due to common ownership. Clients are reminded that they are under no obligation to purchase any commission products and may purchase insurance products recommended by their advisor through non-affiliated entities.
Copyrights and Trademarks
A. No person is authorized to use, copy or distribute any portion of the website, including related graphics.
B. Mariner Wealth Advisors and other trademarks and/or service marks (including logos and designs) found on the Web Site are trademarks/service marks that identify Mariner Wealth Advisors and the goods and/or services provided by Mariner Wealth Advisors. Such marks may not be used under any circumstances without the prior written authorization of Mariner Wealth Advisors.
Links to Third-Party Websites – Mariner Wealth Advisors and Mariner Platform Solutions may provide hyperlinks to third-party websites as a convenience to users of the website. Mariner Wealth Advisors and Mariner Platform Solutions does not control third-party websites and is not responsible for the contents of any linked-to, third-party websites or any hyperlink in a linked-to website. Mariner Wealth Advisors and Mariner Platform Solutions do not endorse, recommend or approve any third-party website hyperlinked from the website. Mariner Wealth Advisors and Mariner Platform Solutions will have no liability to any entity for the content or use of the content available through such hyperlink.
No Representations or Warranties; Limitations on Liability – The information and materials on the website could include technical inaccuracies or typographical errors. Changes are periodically made to the information contained herein. Mariner Wealth Advisors and Mariner Platform Solutions MAKES NO REPRESENTATIONS OR WARRANTIES WITH RESPECT TO ANY INFORMATION, MATERIALS OR GRAPHICS ON THE WEBSITE, ALL OF WHICH IS PROVIDED ON A STRICTLY “AS IS” BASIS, WITHOUT WARRANTY OF ANY KIND AND HEREBY EXPRESSLY DISCLAIMS ALL WARRANTIES WITH REGARD TO ANY INFORMATION, MATERIALS OR GRAPHICS ON THE WEB SITE, INCLUDING ALL IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT. UNDER NO CIRCUMSTANCES SHALL THE SITE OWNER OR PUBLISHER BE LIABLE UNDER ANY THEORY OF RECOVERY, AT LAW OR IN EQUITY, FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION, SPECIAL, DIRECT, INCIDENTAL, CONSEQUENTIAL OR PUNITIVE DAMAGES (INCLUDING, BUT NOT LIMITED TO LOSS OF USE OR LOST PROFITS), ARISING OUT OF OR IN ANY MANNER CONNECTED WITH THE USE OF INFORMATION OR SERVICES, OR THE FAILURE TO PROVIDE INFORMATION OR SERVICES, FROM THE WEBSITE.
By using this website, you acknowledge that you have read and understand the foregoing disclaimers and release Mariner Wealth Advisors and Mariner Platform Solutions 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).
Third‐party rankings and recognitions are no guarantee of future investment success and do not ensure that a client will experience a certain level of performance or results. These ratings should not be construed as an endorsement of the adviser nor are they representative of client evaluations. Generally, ratings, rankings, and recognition are based on information submitted by the adviser.
Awards listed on this website were won by AdvicePeriod between 2014-2021 when the firm was registered with the SEC as Registered Investment Adviser (RIA).
Barron’s recognitions are based upon factors including: assets under management, revenue produced for the firm, regulatory record, and quality of practice. Quality of practice includes an advisor’s regulatory/compliance record and philanthropic and charitable work.
FinTech Breakthrough Awards
FinTech Best Wealth Management Company award won in 2017 is based on Innovation, Performance, Ease of Use, Functionality, Value and Impact. All application questions are created by FinTech Breakthrough. There’s no fee to participate in or distribute the results.
Financial Times top registered Investment Advisors won in 2018, 2019 & 2020 is a listing produced by the Financial Times. The FT300 is based on an application with information about the practice: assets under management, asset growth, compliance record, years in existence and credentials. RIA firms will not be charged a fee for consideration or selection!
Los Angeles Business Journal
Los Angeles Business Journal Best Place to Work in Los Angeles won in 2016 is a listing produced by BCG. Award criteria include: completion of an Employee Engagement and Satisfaction Survey and the Employer Questionnaire which collected information about benefits, policies, and practices. Both were analyzed for strengths and BCG determined rankings. Additional criteria included having a minimum of 15 full time or part time employees and have been in business for a minimum of one year. There’s no fee to participate in or distribute the results of the survey.
Inc. magazine’s Best Workplaces
AdvicePeriod’s selection for Inc. magazine’s 2018 and 2019 Best Workplaces list was based on a written application and an employee satisfaction survey. The survey measured engagement and people practices by surveying employees on their career development opportunities, leadership’s communication, their trust in leadership, team dynamics, and individual needs. The survey was conducted by Quantum Workplace. The application cost was $125.00.
Entrepreneur magazine’s Top Cultures
AdvicePeriod ranked 6 out of 50 on the Top Cultures list for 2018 in the small business category. AdvicePeriod’s rank was measured by employee responses to 24 questions on subject matters such as connection, alignment, effectiveness, leadership, and management, as well as basics such as pay, benefits, and flexibility. The survey was conducted by Energage. There were no costs involved in the application process for this award.
WealthManagement.com’s Best Family Office 2018
WealthManagement.com awarded AdvicePeriod’s team, the “Lab”, as the Best Family Office, for its involvement in innovating the family office experience. The Lab tests technology, tools, and innovative estate planning solutions before pairing its solutions to the needs of family offices. Criteria include both quantitative measures, such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc. There were no costs involved in the application process for this award.
WealthManagement.com’s Thought Leader of the Year 2019
Thought Leader of the Year award won in 2019 is a list produced by wealthmanagement.com. The award is based on both quantitative measures such as program or idea features, usage, the potential to change the industry and existing business practices, along with qualitative measures such as creativity and new practice standards. RIA firms will not be charged a fee for consideration or selection.
WealthManagement.com’s Innovator of the Year and Best Family Office 2020
WealthManagement.com awarded AdvicePeriod Principal, Steve Lockshin, the 2020 Innovator of the Year award for his role in developing Vanilla, a new standard in estate planning technology. Criteria include both quantitative measures such as program features, usage, potential to change the industry and existing business practices, scope, scale, along with qualitative measures such as creativity, new practice standards, etc. Additionally, WealthManagement.com awarded AdvicePeriod’s CFO Services team as Best Family Office – Client Initiative, for offering unique in-house business management services to ultra-high net worth clients. Criteria include both quantitative measures, such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc. There were no costs involved in the application process for this award.
Family Wealth Report’s Best Wealth Planning Firm
The judging process for the Family Wealth Report Awards is conducted by three panels of judges to avoid any conflicts of interest: one panel of MFO’s/Bankers who judge the trusted advisor categories; a second panel of Trusted Advisors who judge the MFO and banking categories; and a third panel dedicated to judging the Technology section. The award categories are focused around three main areas: experts, products, and services for wealth managers and clients/institutions of all sizes and types. AdvicePeriod was Best Wealth Planning Firm under the Private Client Categories. There were no costs involved in the application process for this award.
Charles Schwab & Co., Inc.’s IMPACT Awards®
The Charles Schwab & Co., Inc.’s IMPACT Awards® program recognizes excellence in the business of independent financial advice. Nominees are evaluated and selected by a panel of prominent leaders from both the business world and the financial services industry.
AdvicePeriod is not owned or affiliated with Charles Schwab & Co., Inc. (“Schwab”), and its personnel are not employees or agents of Schwab. The IMPACT Award® is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services® serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. The Harlem Lacrosse is not affiliated with or employed by Schwab. This is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.
It should be noted that no such award should be construed by clients or prospective clients as a guarantee that they will experience a certain level of results if AdvicePeriod is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of the AdvicePeriod by any of its clients.