Five Star award winner Alisa Roth

PROFESSIONAL PROFILE

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Alisa Roth

Senior Wealth Advisor

Mariner Wealth Advisors

4200 W 115th St Ste 100

Leawood, KS 66211

Office: 913-647-9756

alisa.roth@marinerwealthadvisors.com
www.marinerwealthadvisors.com

YOUR STORY, YOUR GOALS, YOUR ADVOCATE

As a senior wealth advisor, Alisa specializes in financial planning for high-net-worth individuals and families. She also works with multi-generational families to help ensure a smooth transition of wealth transfer and, more importantly, a continuation of family legacy. With almost 30 years of experience as a financial advisor, Alisa believes the most important aspect of her job is delivering financial peace of mind to her clients.

Alisa has developed an affinity for working with women who find themselves in situations including a business sale, corporate stock option, divorce, death and other life events. She enjoys helping women take control of their financial lives, providing them with tools to grow and succeed.

Prior to joining the firm, Alisa worked with high-net-worth families at Smith Barney as second vice president in the Wealth Management division. She holds a bachelor’s degree from William Jewell College and a master’s degree from Rockhurst University. She serves on the board of Urban Christian Academy, which provides a tuition-free, holistic education marked by academic excellence to disadvantaged Kansas City students. Alisa has been recognized as a Five Star Wealth Manager by KC Magazine, KC Business and Five Star Professional eleven times, from 2013 - 2023.

See Accomplishments

This award was issued on 01/01/2024 by Five Star Professional (FSP) for the time period 04/10/2023 through 10/31/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1,897 Kansas City-area wealth managers were considered for the award; 136 (7% of candidates) were named 2024 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2023: 1,843, 138, 7%, 1/1/23, 4/18/22 - 10/21/22; 2022: 1,670, 128, 8%, 1/1/22, 4/20/21 - 10/15/21; 2021: 1,678, 118, 7%, 1/1/21, 4/20/20 - 10/23/20; 2020: 1,579, 115, 7%, 1/1/20, 4/1/19 - 11/13/19; 2019: 1,574, 134, 9%, 1/1/19, 5/11/18 - 11/27/18; 2018: 1,387, 119, 9%, 1/1/18, 5/17/17 - 11/30/17; 2017: 952, 212, 22%, 12/1/16, 3/26/16 - 11/28/16; 2016: 880, 216, 25%, 11/1/15, 5/20/15 - 10/15/15; 2015: 1,572, 201, 13%, 12/1/14, 5/20/14 - 10/15/14; 2014: 785, 176, 22%, 12/1/13, 5/20/13 - 10/15/13; 2013: 766, 203, 27%, 12/1/12, 5/20/12 - 10/15/12; 2012: 676, 200, 30%, 11/1/11, 5/20/11 - 10/15/11.

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Mariner, LLC, dba Mariner Wealth Advisors, is an SEC registered investment adviser. Registration of an investment advisor does not imply a certain level of skill or training. Mariner Wealth Advisors is in compliance with the current notice filing requirements imposed upon SEC registered investment advisers by those states in which Mariner Wealth Advisors maintains clients. Mariner Wealth Advisors may only transact business in those states in which it is notice filed or qualifies for an exemption or exclusion from notice filing requirements. Any subsequent, direct communication by Mariner Wealth Advisors with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.