0001373442-11-000006.txt : 20111201 0001373442-11-000006.hdr.sgml : 20111201 20111201110838 ACCESSION NUMBER: 0001373442-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111201 DATE AS OF CHANGE: 20111201 EFFECTIVENESS DATE: 20111201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mariner Wealth Advisors, LLC CENTRAL INDEX KEY: 0001373442 IRS NUMBER: 204553256 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13550 FILM NUMBER: 111236015 BUSINESS ADDRESS: STREET 1: 4200 W. 115TH STREET STREET 2: SUITE 100 CITY: LEAWOOD STATE: KS ZIP: 66211 BUSINESS PHONE: 9136479700 MAIL ADDRESS: STREET 1: 4200 W. 115TH STREET STREET 2: SUITE 100 CITY: LEAWOOD STATE: KS ZIP: 66211 13F-HR 1 2011_Q3_MWA_13F.txt 2011Q3 MWA 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Mariner Wealth Advisors Address: 4200 W 115th St Suite 100 Leawood, KS 66211 Form 13F File Number: 28-13550 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Cheryl Vohland Title: Chief Compliance Officer Phone: 913-647-9700 Signature, Place, and Date of Signing: /s/Cheryl Vohland Leawood, KS November 28, 2011 Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 125 Form 13F Information Table Value Total: $151,357 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
Form 13F Information Table Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of clasCUSIP (x$1000)Prn Amt Prn Call Dscretn ManagersSole Shared None ------------------------------ -------------------------------------- --- ---- ------- -------------------------------- 3M Co COM 88579y101 265 3687 SH Sole 3687 Allergan Inc COM 018490102 214 2593 SH Sole 2593 Altria Group Inc COM 02209s103 413 15418.6 SH Sole 15418.6 Apple Inc COM 037833100 2418 6342 SH Sole 6342 Aqua America Inc COM 03836w103 299 13865 SH Sole 13865 AT&T Inc COM 00206r102 1151 40343.45 SH Sole 40343.45 AvalonBay Communities Inc COM 053484101 203 1780 SH Sole 1780 Bank of America Corporation COM 060505104 478 78164.83 SH Sole 78164.83 Bed Bath & Beyond Inc COM 075896100 258 4495 SH Sole 4495 Berkshire Hathaway Inc Cl A COM 084670108 748 7 SH Sole 7 Berkshire Hathaway Inc Cl B COM 084670702 496 6980 SH Sole 6980 Bristol-Myers Squibb Co COM 110122108 243 7750 SH Sole 7750 C H Robinson Worldwide Inc COM 12541w209 229 3340 SH Sole 3340 Capitol Federal Financial Inc COM 14057j101 224 21188 SH Sole 21188 Caterpillar Inc COM 149123101 312 4228 SH Sole 4228 CBIZ Inc COM 124805102 730 110804 SH Sole 110804 Celgene Corp COM 151020104 425 6860 SH Sole 6860 Cerner Corp COM 156782104 1529 22311.45 SH Sole 22311.45 Chevron Corp COM 166764100 480 5186 SH Sole 5186 Cimarex Energy Co COM 171798101 523 9398 SH Sole 9398 Cisco Systems Inc COM 17275r102 279 17997.26 SH Sole 17997.26 Citigroup Inc COM 172967424 268 10450 SH Sole 10450 Coca-Cola Co COM 191216100 490 7249 SH Sole 7249 Coca-Cola Femsa SAB de CV Sp A ADR 191241108 210 2368 SH Sole 2368 Cognizant Technology Solutions COM 192446102 319 5083 SH Sole 5083 Colgate Palmolive Co COM 194162103 580 6545 SH Sole 6545 Commerce Bancshares Inc COM 200525103 647 18625 SH Sole 18625 ConocoPhillips COM 20825c104 223 3523.35 SH Sole 3523.35 Credo Petroleum Corp COM 225439207 3637 433968 SH Sole 433968 DCP Midstream Partners LP MLP 23311p100 499 12468 SH Sole 12468 Disney Walt Co Disney COM 254687106 343 11388.97 SH Sole 11388.97 Dresser-Rand Group Inc COM 261608103 287 7080 SH Sole 7080 Enbridge Energy Partners LP COM 29250r106 259 9426.7 SH Sole 9426.7 Energy Transfer Partners LP MLP 29273r109 481 11735.78 SH Sole 11735.78 Exxon Mobil Corp COM 30231g102 3233 44515 SH Sole 44515 Fidelity Natl Information Serv COM 31620m106 239 9815 SH Sole 9815 First Horizon Natl Corp COM 320517105 174 29144.26 SH Sole 29144.26 Ford Motor Co COM 345370860 235 24290 SH Sole 24290 Franklin Resources Inc COM 354613101 211 2205 SH Sole 2205 General Electric Co COM 369604103 945 62112.6 SH Sole 62112.6 General Mills Inc COM 370334104 309 8017 SH Sole 8017 Gilead Sciences Inc COM 375558103 237 6113 SH Sole 6113 Google Inc Cl A COM 38259p508 253 492 SH Sole 492 Huntsman Corp COM 447011107 180 18637 SH Sole 18637 Inergy LP MLP 456615103 29669 1185821.92 SH Sole 1185822 Intel Corp COM 458140100 253 11854.97 SH Sole 11854.97 Intl Business Machines COM 459200101 857 4899.6 SH Sole 4899.6 iShares Cohen & Steers Realty ETF 464287564 244 3979 SH Sole 3979 iShares Inc MSCI Japan ETF 464286848 164 17315 SH Sole 17315 iShares Inc MSCI Pacific ex-Ja ETF 464286665 2103 57189 SH Sole 57189 iShares Inc MSCI United Kingdo ETF 464286699 381 25765 SH Sole 25765 iShares MSCI EAFE Index ETF 464287465 1407 29438.37 SH Sole 29438.37 iShares MSCI Emerg Mkt ETF 464287234 1249 35581.45 SH Sole 35581.45 iShares Russell 1000 ETF 464287622 366 5857 SH Sole 5857 iShares Russell 1000 Growth ETF 464287614 1648 31346.1 SH Sole 31346.1 iShares Russell 1000 Value ETF 464287598 633 11186.95 SH Sole 11186.95 iShares Russell 2000 ETF 464287655 1238 19259 SH Sole 19259 iShares Russell 2000 Value ETF 464287630 263 4612 SH Sole 4612 iShares Russell Mid Cap ETF 464287499 1770 20054.01 SH Sole 20054.01 iShares S&P 500 Index ETF 464287200 4253 37413 SH Sole 37413 iShares S&P North American Tec ETF 464287549 1804 32598.25 SH Sole 32598.25 Johnson & Johnson COM 478160104 787 12362.09 SH Sole 12362.09 Jones Lang LaSalle Inc COM 48020q107 916 17676 SH Sole 17676 JPMorgan Chase & Co COM 46625h100 403 13387 SH Sole 13387 JPMorgan Chase & Co Alerian ML ETN 46625h365 6856 201360.82 SH Sole 201360.8 Kansas City Southern COM 485170302 1629 32607 SH Sole 32607 KeyCorp COM 493267108 166 27973 SH Sole 27973 Kinder Morgan Energy Partners MLP 494550106 321 4701.51 SH Sole 4701.51 Kraft Foods Inc Cl A COM 50075n104 324 9635.66 SH Sole 9635.66 Magellan Midstream Partners LP COM 559080106 417 6896.88 SH Sole 6896.88 Market Vectors Agri Business ETF 57060u605 2819 65215 SH Sole 65215 Market Vectors Brazil Small Ca ETF 57060u613 1898 48426 SH Sole 48426 MasterCard Inc Cl A COM 57636q104 644 2029 SH Sole 2029 McDonalds Corp COM 580135101 402 4582 SH Sole 4582 McMoran Exploration Co COM 582411104 121 12178 SH Sole 12178 Merck & Co Inc COM 58933y105 233 7116 SH Sole 7116 Microchip Technology Inc COM 595017104 247 7945 SH Sole 7945 Microsoft Corp COM 594918104 696 27970.16 SH Sole 27970.16 Monsanto Co COM 61166w101 267 4449 SH Sole 4449 Nexxus Lighting Inc COM 65338e105 1050 771985 SH Sole 771985 Nike Inc Cl B COM 654106103 472 5523 SH Sole 5523 Norfolk Southern Corp COM 655844108 207 3396.28 SH Sole 3396.28 Oneok Inc COM 682680103 393 5945 SH Sole 5945 Oneok Partners LP MLP 68268n103 278 5966 SH Sole 5966 Oracle Corp COM 68389x105 562 19565 SH Sole 19565 O'Reilly Automotive Inc COM 67103h107 246 3695 SH Sole 3695 Panera Bread Co Cl A COM 69840w108 228 2197 SH Sole 2197 Penney J C Inc COM 708160106 388 14500 SH Sole 14500 PepsiCo Inc COM 713448108 300 4850 SH Sole 4850 Pfizer Inc COM 717081103 380 21493.47 SH Sole 21493.47 Philip Morris Intl Inc COM 718172109 707 11326.83 SH Sole 11326.83 PowerShares FTSE RAFI 1000 ETF 73935x583 398 8134 SH Sole 8134 PowerShares Intl Div Achievers ETF 73935x716 490 35670.3 SH Sole 35670.3 PowerShares QQQ Ser 1 ETF 73935a104 261 4965 SH Sole 4965 PowerShares WilderHill Clean E ETF 73935x500 68 12451 SH Sole 12451 Procter & Gamble Co COM 742718109 2660 42102.97 SH Sole 42102.97 Qualcomm Inc COM 747525103 593 12185 SH Sole 12185 Rydex ETF Trust S&P 500 Eq Wei ETF 78355w106 2535 61236 SH Sole 61236 SAIC Inc COM 78390x101 413 35000 SH Sole 35000 Sandisk Corp COM 80004c101 246 6090 SH Sole 6090 Schlumberger Ltd COM 806857108 292 4885 SH Sole 4885 Select Sector SPDR Tr SBI Cons ETF 81369y308 5214 175806.93 SH Sole 175806.9 Select Sector SPDR Tr SBI Tech ETF 81369y803 2267 96057.69 SH Sole 96057.69 Sirius XM Radio Inc COM 82967n108 88 57950 SH Sole 57950 SPDR Dow Jones Industrial Avrg ETF 78467x109 2611 23974 SH Sole 23974 SPDR S&P 500 ETF Ser 1 S&P ETF 78462f103 271 2396.58 SH Sole 2396.58 SPDR S&P Emerg Small Cap ETF ETF 78463x756 917 23612 SH Sole 23612 SPDR S&P Mid Cap 400 ETF Tr ETF 78467y107 2851 20056.48 SH Sole 20056.48 SPDR Series Trust DJ REIT ETF ETF 78464a607 236 4182 SH Sole 4182 SPDR Series Trust S&P Biotech ETF 78464a870 2132 35825 SH Sole 35825 Starbucks Corp COM 855244109 210 5638.17 SH Sole 5638.17 Syntroleum Corp COM 871630109 693 805970 SH Sole 805970 TECO Energy Inc COM 872375100 179 10470 SH Sole 10470 Teva Pharmaceutical Industries ADR 881624209 293 7867 SH Sole 7867 Thermo Fisher Scientific Inc COM 883556102 431 8519 SH Sole 8519 Union Pacific Corp COM 907818108 355 4351 SH Sole 4351 Vanguard Emerg Mkt ETF ETF 922042858 386 10762 SH Sole 10762 Vanguard Health Care ETF ETF 92204a504 6464 114031.52 SH Sole 114031.5 Vanguard REIT ETF ETF 922908553 11502 226100.58 SH Sole 226100.6 Vanguard Specialized Portfolio ETF 921908844 5127 105148.07 SH Sole 105148.1 Verizon Communications Inc COM 92343v104 431 11704 SH Sole 11704 VF Corp COM 918204108 1166 9593 SH Sole 9593 Wal-Mart Stores Inc COM 931142103 339 6524.37 SH Sole 6524.37 Willbros Group Inc COM 969203108 47 11180 SH Sole 11180 Williams Partners LP MLP 96950f104 356 6563 SH Sole 6563