Steven David Lockshin

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 03/2022
  Adviceperiod, Llc
  Los Angeles, CA
• 11/2014 → 01/2022
  B+ Institutional Services, Llc
  Leawood, KS
• 03/1994 → 10/2016
  Convergent Wealth Advisors, Llc
  Los Angeles, CA
• 03/2022 → Present
  Mariner Wealth Advisors
  Los Angeles, CA

Previous Registrations

• 2014-01-16 → 2022-03-30
  Adviceperiod, Llc
  Los Angeles, CA
• 2007-05-02 → 2016-10-31
  Convergent Wealth Advisors, Llc
  Los Angeles, CA
  Potomac, MD
  Beverly Hills, CA
• 1994-10-21 → 2007-05-02
  Lydian Wealth Management Company, Llc
  Rockville, MD

Other Businesses

OPENADVISOR, LLC; INVESTMENT RELATED; 2121 AVENUE OF THE STARS, SUITE 2400, LOS ANGELES, CA 90067; HOLDING COMPANY FOR REGISTERED INVESTMENT ADVISERS; MAJORITY OWNER; 11/2013 TO PRESENT; APPROX 0 HRS/MONTH. OpenAdvisor Technologies, Inc; Non-investment Related;2121 Avenue of the Stars, Suite 2400, Los Angeles, CA 90067; Development of estate planning and legal documentation generation software approximately 10-20 hrs per month (10-20 hrs during trading hours); Compensation: equity interest. Clear Fiduciary Support Services, LLC; Non-investment Related; 2121 Avenue of the Stars, Suite 2400, Los Angeles, CA 90067; Provide trustee support for on-boarding and administering NV trusts approximately 3-5 hrs per month (3-5 hrs during trading hours); Compensation: equity only. Refill It, Inc.; Not Investment Related; 3133 Osgood Court, Fremont, CA 94539; Sustainable bottled water company; Board of Directors - Member; Start Date 1/1/2020; 1 hour per month (1 hour per month during trading hours); Board Duties. Velocity Merger Corp; Not investment related; 520 Newport Center Drive, 21st Floor, Newport Beach, CA 92660; SPAC; Board Member; Start Date 02/25/2021; 3 hours per month (3 hours per month during trading hours); Board Member Duties. Collab II LPAC; Not investment related, Advisory Board, General Partner, Start date: 2/3/2023, 1 hour per month, 1 hour during trading hours, The LPAC is a 3 member committee that considers any approvals sought by the general partner (Collab) as required by the fund's limited partnership agreement as well as potential conflicts of interest. Kuhn Family PTC, LLC; Not investment related, Las Vegas, NV, Treasurer and AML Officer, Start date: 1/1/2024, 1 hour per month, 1 hour during trading hours, Treasurer & AML Officer of PTC Harlem Lacrosse; Not investment related, Los Angeles, CA, Board Member, Start date: 5/1/2017, 1 hour per month, 1 hour during trading hours, mission is to provide opportunities, relationships, and experiences that activate the skills and traits to put youth on a path to success as students, athletes, and citizens. Jordan Family PTC, LLC; Investment related, Arizona, Advisory Board, Investment Committee Member, Start date 10/28/2019, 1 hour per month, 1 hour during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-12-30
• S65 Uniform Investment Adviser Law Examination
  1994-04-19