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Investment Adviser Firm Summary
MARINER INDEPENDENT ( CRD # 305418/SEC#:801-117332 )
ADVICEPERIOD, XTRAMILE FINANCIAL GROUP, WEALTH WITH OPTIONS, VAIL CAPITAL MANAGEMENT, TOTAL WEALTH SERVICES…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved9/12/2019
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.

JURISDICTIONEFFECTIVE DATE
Alabama1/23/2023
Alaska1/23/2023
Arizona3/31/2022
Arkansas1/23/2023
California8/23/2021
Colorado3/31/2022
Connecticut2/23/2022
Delaware1/23/2023
District of Columbia3/31/2022
Florida10/8/2020
Georgia8/26/2020
Hawaii3/31/2022
Idaho1/23/2023
Illinois2/23/2022
Indiana1/23/2023
Iowa11/29/2021
Kansas9/12/2019
Kentucky1/23/2023
Louisiana3/31/2022
Maine1/23/2023
Maryland3/31/2022
Massachusetts9/23/2021
Michigan1/23/2023
Minnesota11/29/2021
Mississippi1/23/2023
Missouri7/15/2020
Montana1/23/2023
Nebraska3/11/2021
Nevada3/31/2022
New Hampshire2/23/2022
New Jersey2/28/2022
New Mexico1/23/2023
New York2/23/2022
North Carolina3/9/2022
North Dakota1/23/2023
Ohio5/6/2021
Oklahoma1/23/2023
Oregon3/31/2022
Pennsylvania3/31/2022
Rhode Island2/23/2022
South Carolina1/23/2023
South Dakota1/23/2023
Tennessee3/11/2021
Texas6/24/2020
Utah1/23/2023
Vermont1/23/2023
Virginia7/30/2021
Washington7/30/2021
West Virginia1/23/2023
Wisconsin2/23/2022
Wyoming1/23/2023
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.