-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IfrJ8QU2tTJHjM1hbP21+nAYUVMJs3A4umX3fowWI8L5iQqmCdtDf6UnYe0VZyMC W52sLtbBCrtP4oUb/PNA5w== 0001221073-09-000050.txt : 20091112 0001221073-09-000050.hdr.sgml : 20091111 20091112094309 ACCESSION NUMBER: 0001221073-09-000050 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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: 091174687 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 mwa3q09.txt MARINER WEALTH ADVISORS LLC 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, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Mariner Wealth Advisors LLC Address: 4200 West 115th Street, Suite 100 Leawood, KS 66211 13F File Number: 028-13550 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: Stephanie Manning Title: Chief Compliance Officer Phone: 913-647-9700 Signature, Place, and Date of Signing: /s/ Stephanie Manning Leawood, KS November 06, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 74 Form13F Information Table Value Total: $151,115 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AFLAC INC COM 001055102 1455 34038 SH SOLE 34038 0 0 ALTRIA GROUP INC COM 02209s103 511 28674 SH SOLE 28674 0 0 APPLE INC COM 037833100 1278 6893 SH SOLE 6893 0 0 BANK OF AMERICA CORPORATION COM 060505104 3549 209726 SH SOLE 209726 0 0 BARRICK GOLD CORP COM 067901108 463 12209 SH SOLE 12209 0 0 BENCHMARK ELECTRS INC COM 08160h101 498 27640 SH SOLE 27640 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 994 15056 SH SOLE 15056 0 0 BP PLC SPONSORED ADR 055622104 332 6239 SH SOLE 6239 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941m109 1196 24346 SH SOLE 24346 0 0 CISCO SYS INC COM 17275r102 1047 44482 SH SOLE 44482 0 0 COLGATE PALMOLIVE CO COM 194162103 321 4211 SH SOLE 4211 0 0 COMMERCE BANCSHARES INC COM 200525103 274 7346 SH SOLE 7346 0 0 COPANO ENERGY L L C COM UNITS 217202100 404 22200 SH SOLE 22200 0 0 DIAMONDS TR UNIT SER 1 252787106 205 2107 SH SOLE 2107 0 0 DIANA SHIPPING INC COM y2066g104 507 39018 SH SOLE 39018 0 0 DISNEY WALT CO COM DISNEY 254687106 568 20698 SH SOLE 20698 0 0 EXXON MOBIL CORP COM 30231g102 226 3290 SH SOLE 3290 0 0 FIRST HORIZON NATL CORP COM 320517105 136 10304 SH SOLE 10304 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 180 24915 SH SOLE 24915 0 0 FRANKLIN RES INC COM 354613101 648 6444 SH SOLE 6444 0 0 GAMESTOP CORP NEW CL A 36467w109 482 18225 SH SOLE 18225 0 0 GENERAL ELECTRIC CO COM 369604103 174 10621 SH SOLE 10621 0 0 GENERAL MLS INC COM 370334104 474 7363 SH SOLE 7363 0 0 GILEAD SCIENCES INC COM 375558103 641 13795 SH SOLE 13795 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 838 31631 SH SOLE 31631 0 0 HOUSTON AMERN ENERGY CORP COM 44183u100 123 35000 SH SOLE 35000 0 0 INERGY HLDGS L P COM 45661q107 29236 630093 SH SOLE 630093 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 392 3274 SH SOLE 3274 0 0 ISHARES INC MSCI PAC J IDX 464286665 5770 142362 SH SOLE 142362 0 0 ISHARES INC MSCI AUSTRALIA 464286103 3668 162317 SH SOLE 162317 0 0 ISHARES TR S&P GLO INFRAS 464288372 1882 56141 SH SOLE 56141 0 0 ISHARES TR INDEX S&P NA NAT RES 464287374 3507 108295 SH SOLE 108295 0 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 5228 127773 SH SOLE 127773 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 3897 100146 SH SOLE 100146 0 0 ISHARES TR INDEX RUSL 2000 GROW 464287648 6147 93968 SH SOLE 93968 0 0 ISHARES TR INDEX RUSL 2000 VALU 464287630 3217 57010 SH SOLE 57010 0 0 ISHARES TR INDEX RUSSELL1000GRW 464287614 3746 80884 SH SOLE 80884 0 0 ISHARES TR INDEX S&P LTN AM 40 464287390 6694 156003 SH SOLE 156003 0 0 ITT CORP NEW COM 450911102 1369 26248 SH SOLE 26248 0 0 JOY GLOBAL INC COM 481165108 848 17324 SH SOLE 17324 0 0 JPMORGAN CHASE & CO COM 46625h100 905 20663 SH SOLE 20663 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 753 9380 SH SOLE 9380 0 0 LOCKHEED MARTIN CORP COM 539830109 212 2718 SH SOLE 2718 0 0 LOOPNET INC COM 543524300 9759 1079500 SH SOLE 1079500 0 0 MIDCAP SPDR TR UNIT SER 1 595635103 6567 52420 SH SOLE 52420 0 0 MONSANTO CO NEW COM 61166W101 687 8874 SH SOLE 8874 0 0 NATIONAL GRID PLC SPON ADR NEW 636274300 431 8832 SH SOLE 8832 0 0 NATIONAL OILWELL VARCO INC COM 637071101 1864 43207 SH SOLE 43207 0 0 NEXXUS LIGHTING INC COM 65338e105 4292 771985 SH SOLE 771985 0 0 NIKE INC CL B 654106103 1224 18924 SH SOLE 18924 0 0 ONEOK INC NEW COM 682680103 505 13801 SH SOLE 13801 0 0 PANERA BREAD CO CL A 69840w108 442 8039 SH SOLE 8039 0 0 PEPSICO INC COM 713448108 555 9462 SH SOLE 9462 0 0 PETROHAWK ENERGY CORP COM 716495106 7263 300000 SH SOLE 300000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654v408 678 14775 SH SOLE 14775 0 0 PHILIP MORRIS INTL INC COM 718172109 719 14749 SH SOLE 14749 0 0 POWERSHARES INDIA ETF TR INDIA PORT 73935l100 3336 157565 SH SOLE 157565 0 0 PROCTER & GAMBLE CO COM 742718109 1317 22744 SH SOLE 22744 0 0 QUALCOMM INC COM 747525103 200 4445 SH SOLE 4445 0 0 RESEARCH IN MOTION LTD COM 760975102 927 13707 SH SOLE 13707 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369y803 5364 256996 SH SOLE 256996 0 0 SIRIUS XM RADIO INC COM 82967n108 28 44370 SH SOLE 44370 0 0 SPDR SERIES TRUST MORGAN TECH ETF 78464a102 453 8525 SH SOLE 8525 0 0 SPDR TR UNIT SER 1 78462f103 449 4250 SH SOLE 4250 0 0 ST JUDE MED INC COM 790849103 632 16205 SH SOLE 16205 0 0 STERICYCLE INC COM 858912108 535 11041 SH SOLE 11041 0 0 STRYKER CORP COM 863667101 360 7931 SH SOLE 7931 0 0 SYMANTEC CORP COM 871503108 627 38077 SH SOLE 38077 0 0 SYSCO CORP COM 871829107 463 18634 SH SOLE 18634 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1461 33461 SH SOLE 33461 0 0 TRANSOCEAN LTD REG SHS H8817H100 788 9210 SH SOLE 9210 0 0 UNION PAC CORP COM 907818108 535 9175 SH SOLE 9175 0 0 URS CORP NEW COM 903236107 1133 25948 SH SOLE 25948 0 0 XTO ENERGY INC COM 98385x106 2526 61135 SH SOLE 61135 0 0
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