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David Adam Paley

Mariner Independent

New York, NY

CRD 2100376

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Employer firm

Mariner Independent CRD 305418

$7.34B regulatory AUM 47 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Mariner Independent

5700 West 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-03-01
  • NY RA
    APPROVED
    Since 2022-03-01

Branch Locations

45 Rockefeller Plaza Ste. 2000, New York, NY 10111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Adviceperiod, Llc Los Angeles CA 01/2021 03/2022
Kls Professional Advisors New York NY 02/2016 04/2020
Unemployed New York NY 05/2020 12/2020
Mariner Platform Solutions New York NY 03/2022 Present
  • 01/2021 → 03/2022
    Adviceperiod, Llc
    Los Angeles, CA
  • 02/2016 → 04/2020
    Kls Professional Advisors
    New York, NY
  • 05/2020 → 12/2020
    Unemployed
    New York, NY
  • 03/2022 → Present
    Mariner Platform Solutions
    New York, NY
Previous Registrations
  • 2021-05-10 → 2022-03-30
    Adviceperiod, Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-05-10
S63 Uniform Securities Agent State Law Examination 1994-08-26
  • S65 Uniform Investment Adviser Law Examination
    2021-05-10
  • S63 Uniform Securities Agent State Law Examination
    1994-08-26

View on SEC IAPD

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