About Mariner Platform Solutions Mariner Platform Solutions, LLC (the “Firm,” “we,” or “us”) is an investment adviser registered with the SEC. We are a limited liability company organized under the laws of Delaware. We are wholly owned by Mariner Advisor Network, LLC (referred to herein as the “Network”). The Network is wholly owned by Mariner Wealth Advisors, LLC (referred to herein as “Mariner”). MWA Midco, LLC (“Midco”) is the manager of Mariner. MWA Holdco, LLC (“Holdco”) is the manager of Midco. Holdco is owned by 1248 Holdings, LLC ( “1248”), the Martin C. Bicknell Revocable Trust dated August 7, 1996, as amended and restated, and GEI VIII MW Aggregator LLC (“MW Aggregator”). We are headquartered in Overland Park, Kansas. The Firm provides advisory services through its Investment Adviser Representatives (“IARs”). IARs are independent contractors of the Firm. IARs of the Firm generally have their own business entities with trade names, logos, and websites that they use in marketing the services they provide through the Firm. Such business entities are generally owned by one or more IARs of the Firm, not the Firm itself. The names of these business entities are set out in the Firm’s Form ADV Part 1. Clients should understand that the businesses are generally legal entities of the IAR and not of the Firm or the custodian. Additionally, the business entities owned by the IAR may provide services other than investment advice. IARs may choose to use AdvicePeriod, a d/b/a of the Firm instead of setting up their own business entity. In this case, the IARs are not owners of AdvicePeriod. All IARs are under the supervision of the Firm and the advisory services of the IAR are provided through the Firm. The Firm will maintain the direct contractual relationship with each client and obtain, through such agreements, the authority to engage independent third-party managers or other service providers, as applicable, for services rendered through the platform in service of such client. Investment Advisory Services Through the Firm, IARs provide personal financial planning, reporting, consulting, and investment advisory services to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, corporations and business entities. IARs employ a variety of investment strategies when working with clients to construct a client’s portfolio. Investment management and advisory services are generally offered for a fee based on assets under management or advisement as further described in the agreement with the client. In certain cases, IARs provide financial planning, reporting and/or consulting services for an additional fee, which can be based on a percentage of assets or a flat or hourly rate. Typically, when providing investment advisory services, we have full discretion to select securities to buy and sell for a client’s account. However, from time-to-time clients impose reasonable restrictions, limitations or other requirements with respect to their individual accounts. IARs work with each client in order to tailor their accounts to address their specific goals, objectives and constraints. IARs consider a range of factors that can impact the investment management process, including risk tolerance, investment time horizon, current and future cash needs and such other circumstances deemed relevant. For clients of IARs utilizing model portfolios provided by the Firm, the Firm constructs investment models using an appropriate mix of mutual funds or exchange traded funds, with asset allocation determined based on the risk level of each respective model. The IAR works with the client to understand the client’s objectives, goals, risk tolerance, constraints and other relevant criteria, and will select the appropriate model(s) based upon this review. The Firm is supported by the investment resources of its affiliate, Mariner, LLC (“Mariner Wealth”). This includes access to equity models, options, structured notes and fixed income strategies. Additionally, IARs have access to models developed and managed by other third-party investment managers for use in client accounts. IARs of the Firm can utilize Portfolio Consulting (“PC”) services, which is a separate offering consisting of portfolio design, investment consulting, trade execution, and portfolio re-balancing services. The PC Team can access client accounts through an advisor’s existing custodian as well as provide sub-advisory services through a separate custodial relationship. In addition, the PC team has established a relationship to provide these services through Orion Technologies via their “Communities” platform. IARs are under no obligation to utilize PC services. Clients whose IARs utilize PC services are not charged a separate fee for such services. IARs pay for the services of PC themselves as a business expense. Alternatively, certain IARs of the Firm who determine not to utilize the models developed by the Firm will instead create a customized portfolio management program geared toward the client’s specific investment goals, in a discretionary fashion. In this scenario, the IAR acts as the client’s portfolio manager and is responsible for investment oversight and due diligence, allocation decisions, rebalancing and risk management, without the structure provided by the Firm’s investment models. Utilizing information obtained regarding the client’s objectives, goals, risk tolerance, constraints and other relevant criteria, the IAR will determine the specific investments to utilize in a client’s portfolio. We also provide our clients with access to third-party managers (each a “third-party manager”), including managers in which Mariner or a related entity holds an ownership stake as well as managers of private funds that are affiliated with, but operationally independent of, the Firm. This service provides clients access to a wide range of investment opportunities and asset classes, including international equities, emerging market equities, global fixed income, high-yield fixed income, private equity, commodities, hedge funds, digital assets, structured notes and real assets. By combining third-party managers with our in-house resources, we seek to optimize our customized portfolio management capabilities for clients. Unless otherwise set forth in the third- party manager’s agreement, the third-party manager shall have discretionary authority for the day- to-day management of the assets that are allocated to it by the Firm or the client. The third-party manager shall continue in such capacity until such arrangement is terminated or modified by the Firm. For certain accounts, the Firm utilizes private funds (including through access to a platform which provides access to various alternative investments), third-party providers of unified managed accounts, separately managed accounts and model programs to access third-party money managers. AssetMark Platform The Firm may offer advisory services to Clients by selecting the AssetMark Platform. For more information regarding the AssetMark Platform, refer to AssetMark Platform Disclosure Brochure. The minimum investment required on the AssetMark Platform depends upon the Investment Solution chosen for a Client’s account and is generally $10,000 for Mutual Fund and $25,000 for ETF Accounts and from $25,000 to $1,000,000 for Privately Managed and Unified Managed Accounts, depending on the investment strategy selected for the account. These minimums are described in more detail in the Fees & Minimums Page in the AssetMark Platform Disclosure Brochure. Accounts below the stated minimums may be accepted on an individual basis at the discretion of AssetMark. Sub-Advisory Agreement with SEI Investment Management Corporation We have a Sub-Advisor Agreement with SEI Investments Management Corporation (“SIMC”), a registered investment advisor affiliated with SEI Private Trust Company (“SPTC”). This agreement allows us to allocate client assets for participation in SIMC’s Sub-Advised Program. We are responsible to determine whether participation in the program is appropriate for our clients. Under the program, SIMC provides discretionary investment management services to us and makes available investment strategy models of SIMC, or investment managers appointed by SIMC. These models seek to achieve particular investment goals and are not tailored to individual clients. We may allocate client assets to one or more of SIMC’s models which match a client’s objectives. SIMC then invests the allocated funds in accordance with the selected models as updated from time to time by SIMC or investment managers appointed by SIMC. In most cases, SIMC will implement those models and execute transactions; in others, the investment manager will do so. SIMC charges us an investment management fee for participation in the program. We have instructed SPTC to operationally facilitate the deduction of the investment management fees direct from our clients’ accounts held at SPTC. Clients with assets allocated to the program are subject to certain risks, including the investment manager implementing its model for its other accounts before implementing it for our clients. In that case, securities may be traded by our clients at prices different than those obtained by the manager’s other clients. The risk of price deviations is greater for large orders and thinly traded securities. Additional performance of our client’s investments in a model may deviate from the performance of other accounts in such models or those managed by SIMC or the investment manager. We may also invest client assets into model portfolios of mutual funds and exchanged-traded funds created by SIMC. This includes the SEI Asset Allocation Models that consist of allocations to SEI Funds and SEI ETFs and the Independent Funds Models Program which consists of model portfolios of allocations to certain families of third-party mutual funds or ETFs. We have a Sub- Advisor Agreement with SEI Investments Management Corporation (“SIMC”), a registered investment advisor affiliated with SEI Private Trust Company (“SPTC”). This agreement allows us to allocate client assets for participation in SIMC’s Sub-Advised Program. We are responsible to determine whether participation in the program is appropriate for our clients. Participant Account Management We use a third-party platform to facilitate management of held away assets such as defined contribution plan participant accounts, with discretion. The platform allows us to avoid being considered to have custody of client funds since we do not have direct access to client log-in credentials to affect trades. We are not affiliated with the platform in any way and receive no compensation from them for using their platform. A link will be provided to the client allowing them to connect an account(s) to the platform. Once client account(s) is connected to the platform, we will review the current account allocations. When deemed necessary, we will rebalance the account considering client investment goals and risk tolerance, and any change in allocations will consider current economic and market trends. The goal is to improve account performance over time, minimize loss during difficult markets, and manage internal fees that harm account performance. Client account(s) will be reviewed at least quarterly and allocation changes will be made as deemed necessary. Financial Planning and Consulting To the extent specifically requested by a client, IARs of the Firm will provide financial planning and/or consulting services (including investment and non-investment related matters, such as estate planning, insurance planning, education savings, tax consulting and preparation, etc.). The Firm may charge an additional fee for such services depending on the level of service provided and other considerations deemed relevant by IARs in their sole discretion. IARs of the Firm are also able to provide financial planning and consulting services on a stand-alone basis. Prior to engaging the Firm to provide these services and to the extent a client has not entered into an investment advisory agreement (also referred to as an investment management agreement) with the Firm, clients are generally required to enter into a Financial Planning or Consulting Agreement with the Firm setting forth the terms and conditions of the engagement (including termination), describing the scope of the services to be provided, and the portion of the fee that is due from the client prior to the Firm commencing services if applicable. Please Note: While certain IARs and associates of the Firm are licensed attorneys, they do not provide legal services to the Firm’s clients through the Firm and no attorney-client relationships exist. IAR’s are required to report such activity as an Outside Business Activity and are supervised accordingly. Tax Compliance, Planning, Preparation and Consulting To the extent specifically requested by a client, IARs are able to provide coordinated tax compliance, planning, preparation, and consulting services (collectively referred to as “tax services”) to investment advisory clients as an integrated part of our investment advisory services, including through the use of the Mariner Wealth tax team. Certain IARs also provide tax services on a stand-alone basis, pursuant to a separate tax engagement agreement, to individuals, businesses, and family offices. Although the Firm is a registered investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”), the Firm and Mariner Wealth are not serving in a fiduciary capacity in the provision of stand-alone tax services and will not provide ongoing investment advisory services with respect to stand-alone tax clients’ assets or accounts. For clients who receive separate tax services, IARs may recommend the Firm be retained as their investment adviser pursuant to a separate investment advisory agreement; however, such clients are under no obligation to do so. IARs may also recommend the services of other, non-affiliated professionals to provide tax services. Our clients are under no obligation to engage the services of any such recommended professional. It is solely up to our clients as to whether they accept or reject any recommendation made by an IAR. Please Note: Our clients agree that, if any dispute arises between our client and any other professional recommended by an IAR and/or the Firm, they will seek recourse exclusively from and against the engaged qualified professional. While certain investment adviser representatives of the Firm are licensed CPAs or EAs, they are not responsible for providing tax services unless the client’s Agreement specifically sets forth that such tax services will be provided. The Firm typically charges an additional or separate fee for tax services. Retirement Plan Consulting and Management Services IARs of the Firm provide consulting and advisory services for employer-sponsored retirement plans that are designed to assist plan sponsors of employee benefit plans. Generally, such retirement plan consulting and advisory services consist of managing or otherwise advising sponsors in establishing, selecting, monitoring, removing and/or replacing the investment options under the plan, consistent with the objectives, written guidelines and/or investment objectives set forth in the written investment policy statement adopted by the plan sponsor. As the needs of the plan sponsor dictate, the Firm

offers the following areas of management or advisement: plan investment options, asset allocation, plan structure, participant education, and managing model portfolios. When providing consulting and/or management services to plan sponsors of employee benefit plans, plan participants should not assume that general informational materials or educational sessions devised and/or provided by the Firm on behalf of the plan serves as the receipt of, or as a substitute for, personalized investment advice from the Firm, or from any other investment professional. To the extent that any participant requires initial or ongoing personalized investment advice, he/she is encouraged to consult with the investment professional of his/her choosing. In addition to the services described above, IARs of the Firm may also provide discretionary advisory services to client accounts that are governed by the Employment Retirement Income Security Act of 1974, as amended (“ERISA”). All retirement plan investment advisory services shall be in compliance with the applicable state law(s) regulating retirement plan advisory services. This applies to client accounts that are plans governed by ERISA. If the client accounts are part of the plan, and we accept appointments to provide our services to such accounts, we acknowledge that we are a fiduciary within the meaning of section 3(21) of ERISA (but only with respect to the provision of services described in the applicable agreement). We emphasize continuous and regular account supervision. Once the appropriate plan investments have been determined, we review the plan investments at least annually and if necessary, provide advice to or otherwise add, replace or remove investment options based upon the plan sponsor’s objectives, written guidelines and/or investment objectives. In certain cases, if deemed appropriate for a client, IARs will refer Plans to utilize the services of the Firm’s affiliate, Mariner Institutional, for management. Our Fiduciary Acknowledgement When we provide investment advice to you regarding your retirement plan account or IRA, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act (“ERISA”) and/or Section 4975 of the Internal Revenue Code (the “Code”), as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest. For purposes of this special rule, covered “plans” include 401(k), 403(b), profit-sharing, pension and all other plans that are subject to ERISA, together with tax-qualified retirement plans under the Code (even if not subject to ERISA) such as Solo 401(k) and “Keogh” plans. “IRAs” subject to the special rule include both traditional and Roth IRAs, individual retirement annuities, health savings accounts, Archer medical savings accounts and Coverdell education savings accounts. Our Material Conflicts of Interest Our material conflicts of interest are described in this brochure. Investment advisory, financial planning, tax and/or retirement service recommendations as described above may pose a conflict between the interests of the Firm and the interests of clients. For example, a recommendation to engage the Firm for investment advisory services or to increase the level of investment assets with the Firm, including through rollovers or other transfers of retirement plan accounts or IRAs, would pose a conflict, as it would increase the advisory fees paid to the Firm. Clients are not obligated to implement any recommendations made by the Firm or maintain an ongoing relationship with the Firm. If a client elects to act on any of the recommendations made by the Firm, the client is under no obligation to execute the transaction through the Firm. In addition, please note the following: Advisory Services (the Firm) vs. Brokerage Services. In most cases, the total compensation that our Firm receives (consisting primarily of advisory fees) for providing investment advisory services is more than a brokerage firm may receive (consisting primarily of commissions and other transaction-based payments, including trail compensation) for providing brokerage services. Also, the advisory fees you would pay to us in an investment advisory account do not decrease even where the level of investment trading activity in your advisory account is low. IARs receive a percentage share of the fees they generate. While we are not prohibited from doing so, if you are an investment advisory client of the Firm, in most cases we do not expect to recommend that you roll over plan accounts or IRAs into brokerage IRAs serviced by a brokerage firm, because we generally intend to manage these accounts on an integrated basis together with your other advisory accounts, and those of your household (if applicable). Rollovers and Account Type Changes Regardless of the investments and services you select, the Firm will make more money if you roll over assets from a retirement plan or IRA for which we do not provide services, to a retirement plan or IRA for which we do provide services, whether the rollover is from (1) a plan to an IRA, (2), an IRA to an IRA, (3) a plan to another plan, or (4) an IRA to a plan (as those terms are described above). As noted above, IARs are compensated based on the total client fees they generate for the Firm. Therefore, both our Firm and our individual wealth advisors have financial incentives to recommend plans and/or IRA rollovers to plans and IRAs serviced by us. You are under no obligation, contractually or otherwise, to complete the rollover. Furthermore, if you do complete the rollover, you are under no obligation to have the assets in an IRA managed by us. Closed-end Funds, Exchange Traded Funds (ETFs) and Mutual Fund Portfolios IARs of the Firm provide advice to client accounts that include as part of the overall client allocation portfolios of closed-end funds, ETFs and mutual funds. Managed Accounts – Equity Portfolios We also offer our clients a variety of equity strategies through separate accounts, including through a subadvisory relationship with Mariner Wealth. These strategies offer clients access to actively managed equity strategies. The Firm generally imposes account minimums when offering managed accounts to clients, ranging from $100,000 to $250,000 depending on the strategy, which may be adjusted depending on the level of service provided to the client, the investment strategy employed by the account and other considerations deemed relevant by the Firm in its sole discretion. The equity strategies vary by mandate, generally with a focus on capital appreciation as a primary objective. Philosophies include dividend-based strategies, GARP (growth at a reasonable price), socially conscious and personalized equity portfolios. Mariner Wealth will recommend individual securities based upon fundamental analysis performed by its research investment professionals. Mariner Wealth relies primarily on publicly available information in its analysis, supplemented by third-party research and analytical tools. Managed Accounts – Fixed Income Portfolios We also offer our clients a variety of actively managed fixed income strategies, including through a subadvisory relationship with Mariner Wealth The Firm generally imposes account minimums when offering managed accounts to clients of $250,000, which may be adjusted depending on the level of service provided to the client, the investment strategy employed by the account and other considerations deemed relevant by the Firm in its sole discretion. With respect to Mariner Wealth’s fixed income strategies, the primary objective is capital preservation. Secondary objectives include providing a steady, tax-efficient revenue stream and the potential for capital appreciation. Mariner Wealth’s investment fixed income strategies are formed through a combined top-down and bottom-up perspective. From the top-down, Mariner Wealth develops its economic outlook and interest rate strategy using macroeconomic and market data and trends. Mariner Wealth will alter its duration, sector, and yield curve exposure targets based on this outlook. Options Strategies We also offer our clients a variety of options strategies, including through a subadvisory relationship with Mariner Wealth. These strategies are generally designed to provide clients with income that is uncorrelated to the performance of their underlying investments held as collateral. Alternatively, the options strategies may be used to enhance the returns of an underlying concentrated position or to protect the downside of an equity or an index. Structured Notes Strategies We offer our clients structured notes strategies, including through a subadvisory relationship with Mariner Wealth. These strategies are generally designed to provide clients with an alternative risk/reward payoff compared to owning the same asset directly. The structured notes objectives are to offer capital appreciation to equity indices and varying levels of downside protection to the index. They may also be used to provide income or principal protection. Alternative Strategies Our alternative and private fund strategies focus on generating absolute, risk-adjusted returns that are intended to have lower correlation to the broad equity market. As a result, clients must affirmatively subscribe for any such investment. Robo-Advisory Program For some clients, our wealth advisors may recommend a web-based electronic investment advisory program operated and provided by Betterment LLC, a third-party investment adviser (“Betterment”). Under this arrangement, clients access Betterment exclusively through their website. Clients provide Betterment with their risk tolerance, financial circumstances and other information and their portfolio is created with asset allocations in exchange-traded funds (ETFs) that match tolerance levels and goals. Betterment then provides investment advice to the client and directs trades to its affiliated broker-dealer, Betterment Securities. In addition to the advisory fee a client agrees to pay the Firm, clients pay Betterment a fee that covers the investment advice, execution, and custody of the client’s account in the Betterment Program (the “Program”). Clients should understand that with Robo-Advisory Services:
• Advice provided by Betterment is computer-generated, and therefore inherently has several limitations including, but not limited to, the following: (i) neither the Firm nor Betterment can ensure that the Program can achieve any particular tax result for any client or that the mathematical algorithms employed are designed properly, updated with new data, and can accurately predict future security, market, industry, and sector performance; (ii) the algorithm may rebalance Program accounts without regard to the then-current market conditions or on a more frequent basis than the client might otherwise expect; and (iii) the algorithm may not address prolonged market condition changes.
• We will be unable to manage your Program account in a way we may otherwise advise for advisory accounts we manage. Betterment can amend the terms of the client’s agreement at any time upon notice to the client. A client’s participation in the web-based electronic investment advisory program is subject to numerous conditions (as noted on the website); Clients must agree to arbitration of any disputes they may have with Betterment; and
• Betterment fees are billed in arrears while the Firm bills primarily in advance. Annuity Products Clients may grant the Firm discretion to: (a) select investment strategy allocations for clients’ existing or new annuity products; and (b) allocate among the investment strategy allocations available from the specific annuity sponsor (collectively (a) and (b) are referred to as the “Annuity Allocation Services”). In performing Annuity Allocation Services, the Firm will only consider the options available within the specific annuity purchased by the client. If an annuity was purchased with retirement account assets, client agrees that the Firm did not exercise discretionary control with respect to the purchase of the annuity. Any changes in a client’s annuity investments (re- allocations among investment strategy allocations) are subject to the terms and conditions imposed by the applicable annuity sponsor. The assets invested in any annuity product for which the Firm is providing Annuity Allocation Services are included in the total assets on which the Firm’s advisory fee is calculated. The Firm’s advisory fee is separate from, and in addition to, the management fees and expenses charged on a continuing basis by the annuity sponsor, insurance company, and/or associated investment manager. Annuities have inherent risks, will fluctuate in value, incur losses based on the performance of selected investments or investment strategy allocations, are suitable only as long-term investments, and should not be viewed as short-term trading vehicles. Clients should carefully review the prospectus and other offering documents for more information on annuities. If deemed appropriate for a client, our IARs recommend clients utilize fee-based variable annuities, including through a third-party provider of a platform of insurance consultation services. Fee-based variable annuities are not assessed transaction fees since the reallocation of transactions are placed directly with the variable annuity sponsor. Clients are encouraged to review the variable annuity prospectus prior to investing. Other Businesses and Investment Programs The Firm and our affiliates also offer to our clients a variety of services, including estate and trust services, and risk management. The Firm earns fees for the services provided by it, and its affiliates will likewise earn fees directly for services they provide. Please see Item 10 for more information on the services provided by our affiliates. Client Agreement Prior to engaging an IAR of the Firm, the client will be required to enter into one or more written agreements setting forth the terms, conditions, and objectives under which we shall render our services (the “Agreement”). Additionally, we will only implement our investment recommendations after a client has arranged for and furnished all information and authorization regarding accounts with appropriate financial institutions. Clients are advised to promptly notify their IAR if there are ever any changes in their financial situation or investment objectives. Our total assets under management are approximately $4,345,628,317 with $3,902,499,654 managed on a discretionary basis and $443,128,672 managed on a non-discretionary basis as of December 31, 2023.