MARINER INVESTMENT GROUP, LLC
(CRD# 124744 / SEC# 801-62016)
CONCORDIA G-10 STRATEGIES GP LLC (RELYING ADVISER) , CONCORDIA GERV STRATEGIES GP LLC , CONCORDIA MUNICIPAL STRATEGIES GP LLC (RELYING ADVISER) , GALTON CAPITAL GROUP IV, LLC (RELYING ADVISER) , GALTON CAPITAL GROUP, LLC (RELYING ADVISER) , IIFC FUND GP, LLC (RELYING ADVISER) , IIFC II GP, LLC (RELYING ADVISER) , MARINER BREAKWATER GP, LLC (RELYING ADVISER) , MARINER FRONTIER GP, LLC (RELYING ADVISER) , MARINER GLEN OAKS GP, LLC (RELYING ADVISER) , MARINER GP, LLC (RELYING ADVISER) , 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. (RELYING ADVISER) , 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.
|SEC / JURISDICTION
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.
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