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Investment Adviser Firm Summary

MARINER INVESTMENT GROUP, LLC (CRD# 124744 / SEC# 801-62016)
Alternate Names: CONCORDIA G-10 STRATEGIES GP LLC , CONCORDIA GERV STRATEGIES GP LLC , CONCORDIA MUNICIPAL STRATEGIES GP LLC , GALTON CAPITAL GROUP AGENCY, LLC (GP) , GALTON CAPITAL GROUP IV, LLC (GP) , GALTON CAPITAL GROUP, LLC (GP) , IIFC FUND GP, LLC , IIFC II GP, LLC , MARINER BREAKWATER GP, LLC , MARINER FRONTIER GP, LLC , MARINER GLEN OAKS GP, LLC , MARINER GP, LLC , MARINER INFRASTRUCTURE INVESTMENT MANAGEMENT, LLC (RELYING ADVISER) , MARINER INVESTMENT (EUROPE) LLP (RELYING ADVISER) , MARINER INVESTMENT GROUP, INC. , MARINER INVESTMENT GROUP, LLC , MARINER SELECT GP, L.L.C. , MARINER/PALMETTO STATE PARTNERS GP, LLC (RELYING ADVISER) , ORIX CAPITAL FUND I GP, LLC (RELYING ADVISER) , ORIX CAPITAL PARTNERS PE, LLC (RELYING ADVISER) , ORIX CAPITAL PARTNERS, LLC (RELYING ADVISER)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/14/2003

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Connecticut 06/07/2013
New Jersey 12/05/2014
New York 05/14/2003
Pennsylvania 09/13/2013
Texas 11/24/2014

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser