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Investment Adviser Firm Summary

MARINER WEALTH ADVISORS-CINCINNATI, LLC (CRD# 165759 / SEC# 801-77253)
Alternate Names: MARINER WEALTH ADVISORS , MARINER WEALTH ADVISORS-CINCINNATI, LLC , RIVERPOINT CAPITAL MANAGEMENT, LLC , RIVERPOINT WEALTH ADVISORS, LLC , RPCM, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/16/2012

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
Alabama 08/20/2015
Arizona 05/08/2013
Arkansas 03/31/2015
California 11/07/2012
Colorado 03/27/2015
Connecticut 03/24/2017
District of Columbia 03/21/2014
Florida 11/08/2012
Georgia 11/07/2012
Hawaii 03/27/2015
Illinois 11/19/2012
Indiana 11/07/2012
Kansas 10/10/2012
Kentucky 11/07/2012
Louisiana 03/21/2014
Massachusetts 11/07/2012
Michigan 11/07/2012
Minnesota 01/19/2016
Missouri 11/07/2012
New Jersey 07/10/2015
New York 11/07/2012
North Carolina 10/26/2015
Ohio 10/10/2012
Oregon 03/09/2017
Pennsylvania 03/21/2014
Rhode Island 03/24/2017
South Carolina 03/24/2017
Tennessee 01/19/2016
Texas 11/07/2012
Utah 03/24/2017
Vermont 04/03/2017
Virginia 03/27/2015

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