Investment adviser · CRD 124744
MARINER INVESTMENT GROUP, LLC
HARRISON, NY, United States · Form ADV filed Aug 25, 2022
- Regulatory AUM
- $219B Form ADV · Item 5.F
- Client accounts
- 43 Accounts, not individual clients
- Employees
- 114 Reported in this filing
- Advisory professionals
- 64 Investment advisory functions
How this adviser has changed
Annual filingsRegulatory assets under management
Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.
| Fiscal year | Regulatory AUM | Employees | Filed |
|---|---|---|---|
| 2021 | $201,250,850,921 | 111 | Mar 31, 2022 |
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 36 | $217,379,421,259 | 99.1% |
| Retirement plans | Fewer than 5 | $1,031,193,690 | 0.5% |
| Investment companies | 1 | $927,329,322 | 0.4% |
| Corporations & businesses | Fewer than 5 | $33,155,091 | 0.0% |
Filing source
Form ADV 1667918 · Aug 25, 2022 · Item 5.D
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Private funds & service providers
16 detailed fund recordsLargest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.
GALTON MORTGAGE STRATEGIES MASTER FUND, L.P.Hedge Fund · Master$782MGross asset value
Form D fundraising filings
View filings for the issuers linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
KPMG LLP
PCAOB 185
J.P. MORGAN SECURITIES LLC
SEC 8-35008
MARINER GROUP CAPITAL MARKETS, LLC
CRD 25878 · SEC 8-42116
J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008
Fund details & source
- Fund ID
- 805-2244533172
- Reported beneficial owners
- 4
- Minimum commitment
- $5M
- Form D file number
- 021-135186
- Form D file number
- 021-177991
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
GALTON MORTGAGE RECOVERY MASTER FUND IV, LP.Hedge Fund · Master$109MGross asset value
Form D fundraising filings
View filings for the issuers linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221
Fund details & source
- Fund ID
- 805-8254902001
- Reported beneficial owners
- 9
- Minimum commitment
- $5M
- Form D file number
- 021-295146
- Form D file number
- 021-295144
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
GALTON MORTGAGE STRATEGIES SIF MASTER II, LPHedge Fund · Master$79MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
J.P. MORGAN SECURITIES LLC
SEC 8-35008
J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008
Fund details & source
- Fund ID
- 805-9927338133
- Reported beneficial owners
- 32
- Minimum commitment
- $1M
- Form D file number
- 021-447302
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MARINER GLEN OAKS MASTER FUND, L.P.Hedge Fund · Master$38.1MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
KPMG LLP
PCAOB 185
J.P. MORGAN SECURITIES LLC
SEC 8-35008
FALLS BRIDGE SECURITIES, LLC
CRD 299526 · SEC 8-70247
MARINER GROUP CAPITAL MARKETS, LLC
CRD 25878 · SEC 8-42116
Fund details & source
- Fund ID
- 805-5576850531
- Reported beneficial owners
- 11
- Minimum commitment
- $1M
- Form D file number
- 021-241966
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
CONCORDIA MUNICIPAL OPPORTUNITIES MASTER FUND LPHedge Fund$31MGross asset value
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
GRANT THORNTON LLP
PCAOB 248
J.P. MORGAN SECURITIES LLC
SEC 8-35008
PERSHING LLC
SEC 8-17574
Fund details & source
- Fund ID
- 805-2803297410
- Reported beneficial owners
- 15
- Minimum commitment
- $250K
- Form D file number
- 021-930000
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MARINER FRONTIER FUND, L.P.Other Private Fund$23.3MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
Fund details & source
- Fund ID
- 805-4419076235
- Reported beneficial owners
- 2
- Minimum commitment
- $5M
- Form D file number
- 021-126897
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MARINER OPPORTUNITIES FUND, L.P.Hedge Fund$13.7MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
GRANT THORNTON LLP
PCAOB 248
J.P. MORGAN SECURITIES LLC
SEC 8-35008
J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008
Fund details & source
- Fund ID
- 805-6289396283
- Reported beneficial owners
- 59
- Minimum commitment
- $1M
Form ADV 1667918 · Aug 25, 2022 · Schedule D 7.B.(1)
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Services & filing details
Showing values from the selected filing. Latest observed filing does not establish current registration status.
What changed?
Since Mar 31, 2022 · previous imported filing
- Regulatory AUM$201,250,850,921 → $219,371,099,362
- Client accounts39 → 43
- Employees111 → 114
Filing source
Form ADV 1667918 · Aug 25, 2022 · Items 1 & 5
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Management of assets
- Discretionary
- $219B
- Non-discretionary
- $62.1M
Reported services
Investment company portfolio management · Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets · Performance-based
Principal office
500 MAMARONECK AVENUE, 4TH FLOORHARRISON, NY, 10528, United States
CRD 124744
Filing source
Form ADV 1667918 · Aug 25, 2022 · Items 1 & 5
Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.