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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

THE MOSAIC FINANCIAL GROUP, LLC

CRD 109816

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1dee5a70-bb30-80f4-6ad6-23e2bd018007

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Sep 17, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $949MItem 5.F on the latest filing (2026-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $305M
Private client RAUM: $934MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $105Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 27
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 596
High net worth clients: 130
Custody, client assets: $207M
SEC number: 801-58120
CRD: 109816
Filings on the tape: 27
First filed: Mar 29, 2012
Latest filed: Sep 17, 2026
Organised: Limited Liability Company, IL
Website: themosaicgroupllc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JANE-ELLEN MARIE WOLAK	Certified Financial Planner	CHICAGO, IL	25	29	n/a	no
TIMOTHY JOHN DEBRUYNE	n/a	CHICAGO, IL	22	22	n/a	no
RYAN THOMAS SHAUGHNESSY	n/a	CHICAGO, IL	15	25	1	no
BREWSTER WADE LINDBLAD	n/a	CHICAGO, IL	13	15	n/a	no
JOSEPH G. HETLAND	n/a	CHICAGO, IL	12	14	n/a	no
DERRICK J. ALLEN	n/a	CHICAGO, IL	4	23	n/a	no
Frank Bradley Miller	n/a	CHICAGO, IL	3	10	n/a	no
Collin James Wegener	n/a	CHICAGO, IL	3	13	n/a	no
ALBERTO LIZ	n/a	CHICAGO, IL	2	11	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLEN, DERRICK, J.	Partner	C	yes	01/2018	Mar 25, 2026	Mar 25, 2026
DEBRUYNE, TIMOTHY, JOHN	PARTNER, CHIEF COMPLIANCE OFFICER	C	yes	01/2018	Mar 25, 2026	Mar 25, 2026
WOLAK, JANE-ELLEN, MARIE	Partner	Na	yes	10/2000	Mar 25, 2026	Mar 25, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$949M	$305M	27	9	1	n/a	n/a
2024	Mar 20, 2025	$898M	$289M	24	9	1	n/a	n/a
2023	Mar 20, 2024	$945M	$413M	23	9	1	n/a	n/a
2022	Mar 30, 2023	$950M	$445M	22	8	1	n/a	n/a
2021	Mar 17, 2022	$1.1B	$518M	22	8	1	n/a	n/a
2020	Mar 24, 2021	$983M	$448M	21	8	1	n/a	n/a
2019	Mar 27, 2020	$975M	$386M	23	9	1	n/a	n/a
2018	Mar 26, 2019	$912M	$407M	23	10	2	n/a	n/a
2017	Mar 28, 2018	$1.2B	$680M	23	10	2	n/a	n/a
2016	Mar 21, 2017	$1.2B	$786M	23	10	n/a	n/a	n/a
2015	Mar 30, 2016	$1.1B	$736M	28	9	n/a	n/a	n/a
2014	Mar 13, 2015	$500M	$98.1M	24	9	n/a	n/a	n/a
2013	Mar 27, 2014	$441M	$76.9M	23	9	n/a	n/a	n/a
2012	Mar 28, 2013	$376M	$64.0M	22	8	n/a	n/a	n/a
2011	Mar 29, 2012	$313M	$40.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$949M	$898M	5.6%	$950M	-0.0%	27	24	1	1

Relationships

Registered with (15)

← ALBERTO LIZAdvisorregistration: current employment
Feb 12, 2024 to presentfactForm ADV
← Collin James WegenerAdvisorregistration: current employment
Jul 18, 2023 to presentfactForm ADV
← Frank Bradley MillerAdvisorregistration: current employment
Jul 10, 2023 to presentfactForm ADV
← DERRICK J. ALLENAdvisorregistration: current employment
Jan 7, 2022 to presentfactForm ADV
← JOSEPH G. HETLANDAdvisorregistration: current employment
Jul 2, 2014 to presentfactForm ADV
← BREWSTER WADE LINDBLADAdvisorregistration: current employment
Jun 4, 2013 to presentfactForm ADV
← RYAN THOMAS SHAUGHNESSYAdvisorregistration: current employment
Dec 15, 2010 to presentfactForm ADV
← TIMOTHY JOHN DEBRUYNEAdvisorregistration: current employment
Jun 28, 2004 to presentfactForm ADV
← JANE-ELLEN MARIE WOLAKAdvisorregistration: current employment
Dec 1, 2000 to presentfactForm ADV
← LEAH JANE JONESAdvisorregistration: previous registration
Dec 21, 2006 to Sep 15, 2010factForm ADV
← CLAYTON JOHN COCHRANAdvisorregistration: previous registration
Aug 11, 2009 to Sep 15, 2010factForm ADV
← JAMES GERARD HAGEDORNAdvisorregistration: previous registration
Oct 9, 2007 to Jan 30, 2009factForm ADV
← ANTHONY JOSEPH HALPINAdvisorregistration: previous registration
Jan 11, 2008 to Jan 30, 2009factForm ADV
← BRYAN J. MATHIEAdvisorregistration: previous registration
Mar 23, 2007 to Jan 22, 2008factForm ADV
← CHRISTINE A SPERRYAdvisorregistration: previous registration
Apr 12, 2005 to Jul 24, 2006factForm ADV

Controls (3)

← WOLAK, JANE-ELLEN, MARIEOwnerPARTNER, ownership code NA, individual
Mar 29, 2012 to Mar 20, 2024factForm ADV
← DEBRUYNE, TIMOTHY, JOHNOwnerPARTNER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 28, 2018 to Mar 20, 2024factForm ADV
← ALLEN, DERRICK, J.OwnerPARTNER, ownership code C, individual
Mar 28, 2018 to Mar 20, 2024factForm ADV

Dated events

Occurred
Mar 27, 2020
Control person left
Douglas Craig Stepnicka (Director) no longer on Schedule A of The Mosaic Financial Group, Llc (listed 2019-03-26, absent 2020-03-27)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1dee5a70-bb30-80f4-6ad6-23e2bd018007
First observed: Mar 29, 2012
Last observed: Sep 17, 2026 3 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE MOSAIC FINANCIAL GROUP, LLC

CRD 109816

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1dee5a70-bb30-80f4-6ad6-23e2bd018007

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:43 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JANE-ELLEN MARIE WOLAK

Certified Financial Planner

CHICAGO, IL

n/a

TIMOTHY JOHN DEBRUYNE

n/a

CHICAGO, IL

n/a

RYAN THOMAS SHAUGHNESSY

n/a

CHICAGO, IL

BREWSTER WADE LINDBLAD

n/a

CHICAGO, IL

n/a

JOSEPH G. HETLAND

n/a

CHICAGO, IL

n/a

DERRICK J. ALLEN

n/a

CHICAGO, IL

n/a

Frank Bradley Miller

n/a

CHICAGO, IL

n/a

Collin James Wegener

n/a

CHICAGO, IL

n/a

ALBERTO LIZ

n/a

CHICAGO, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEN, DERRICK, J.

Partner

yes

01/2018

Mar 25, 2026

DEBRUYNE, TIMOTHY, JOHN

PARTNER, CHIEF COMPLIANCE OFFICER

yes

01/2018

Mar 25, 2026

WOLAK, JANE-ELLEN, MARIE

Partner

yes

10/2000

Mar 25, 2026

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$949M

$305M

n/a

2024

Mar 20, 2025

$898M

$289M

n/a

2023

Mar 20, 2024

$945M

$413M

n/a

2022

Mar 30, 2023

$950M

$445M

n/a

2021

Mar 17, 2022

$1.1B

$518M

n/a

2020

Mar 24, 2021

$983M

$448M

n/a

2019

Mar 27, 2020

$975M

$386M

n/a

2018

Mar 26, 2019

$912M

$407M

n/a

2017

Mar 28, 2018

$1.2B

$680M

n/a

2016

Mar 21, 2017

$1.2B

$786M

n/a

2015

Mar 30, 2016

$1.1B

$736M

n/a

2014

Mar 13, 2015

$500M

$98.1M

n/a

2013

Mar 27, 2014

$441M

$76.9M

n/a

2012

Mar 28, 2013

$376M

$64.0M

n/a

2011

Mar 29, 2012

$313M

$40.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$949M

$898M

5.6%

$950M

-0.0%