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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MOSAIC FAMILY WEALTH, LLC

CRD 170923

ST. LOUIS, MO

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:2afac742-b88d-9ae6-3663-2a7e42748ab0

Data as of Nov 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 17
On other graphs: 0
Observed: Apr 3, 2014 to Nov 1, 2021
28 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.2BItem 5.F on the latest filing (2021-11-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 12
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,741
Individual clients: 240
High net worth clients: 259
Custody, client assets: $377M
SEC number: 801-79586
CRD: 170923
Filings on the tape: 28
First filed: Apr 3, 2014
Latest filed: Nov 1, 2021
Organised: Limited Liability Company, Delaware

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
BROWN, MICHELLE, KATHLEEN	PRINCIPAL AND DIRECTOR OF CLIENT ADVISORY SERVICES	Na	yes	01/2018	Mar 20, 2018	Nov 1, 2021
FISCHER, JOHN, MICHAEL	CHIEF INVESTMENT OFFICER	Na	yes	06/2021	Jul 13, 2021	Nov 1, 2021
HIGHMARK, DUNCAN, SCOTT	PRESIDENT, PRINCIPAL, AND CHIEF COMPLIANCE OFFICER	D	yes	02/2015	Feb 20, 2015	Nov 1, 2021
ROTELLO, STEVEN, GREGORY	Principal	B	yes	01/2019	Mar 23, 2020	Nov 1, 2021
SHIKLES, LARRY, KEITH	Principal	C	yes	02/2015	Feb 20, 2015	Nov 1, 2021

Offices

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

City	State	Country	Employees	Also broker-dealer
GREENWOOD VILLAGE	Co	United States	4	yes

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 16, 2021	$1.2B	$1.1B	15	12	1	n/a	n/a
2019	Mar 23, 2020	$812M	$628M	18	12	1	n/a	n/a
2018	Mar 18, 2019	$710M	$568M	16	12	1	n/a	n/a
2017	Mar 20, 2018	$713M	$550M	16	12	1	n/a	n/a
2016	Mar 15, 2017	$440M	$440M	11	9	n/a	n/a	n/a
2015	Mar 12, 2016	$361M	$361M	9	4	n/a	n/a	n/a
2014	Feb 11, 2015	n/a	n/a	1	0	n/a	n/a	n/a

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
2020	$1.2B	$812M	43.2%	$713M	17.7%	15	18	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MOSAIC WEALTH	11	Jan 3, 2022	Jan 24, 2025	ST LOUIS, MO	Firm absorbed	RIA to new firm	100.0%
MOMENT PRIVATE WEALTH	2	Mar 24, 2021	Apr 20, 2021	ST LOUIS, MO	Team lift out	RIA to RIA	16.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	5	Mar 5, 2015	Jun 26, 2020	CHESTERFIELD, MO	Team lift out	Wirehouse to new firm	0.0%

Relationships

Controls (5)

← SHIKLES, LARRY, KEITHOwnerPRINCIPAL, ownership code C, individual
Feb 20, 2015 to presentfactForm ADV
← HIGHMARK, DUNCAN, SCOTTOwnerPRESIDENT, PRINCIPAL, AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 20, 2015 to presentfactForm ADV
← ROTELLO, STEVEN, GREGORYOwnerPRINCIPAL, ownership code B, individual
Mar 23, 2020 to presentfactForm ADV
← BROWN, MICHELLE, KATHLEENOwnerPRINCIPAL AND DIRECTOR OF CLIENT ADVISORY SERVICES, ownership code NA, individual
Mar 20, 2018 to presentfactForm ADV
← FISCHER, JOHN, MICHAELOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 13, 2021 to presentfactForm ADV

Moved with (3)

→ MOSAIC WEALTHRegistered adviser11 advisors, firm absorbed
Jan 3, 2022 to Jan 24, 2025factForm ADV
→ MOMENT PRIVATE WEALTHRegistered adviser2 advisors, team lift out, same day
Mar 24, 2021 to Apr 20, 2021factForm ADV
← MORGAN STANLEYRegistered adviser5 advisors, team lift out
Mar 5, 2015 to Jun 26, 2020factForm ADV

Registered with (16)

← LARRY KEITH SHIKLESAdvisorregistration: previous registration
Feb 20, 2015 to Jan 4, 2022factForm ADV
← GAIL MARIE WILDAdvisorregistration: previous registration
Jun 26, 2020 to Jan 4, 2022factForm ADV
← MICHELLE KATHLEEN BROWNAdvisorregistration: previous registration
May 24, 2016 to Jan 4, 2022factForm ADV
← TYLER CAMPOAdvisorregistration: previous registration
Jan 11, 2017 to Jan 4, 2022factForm ADV
← JAMES ROBERT STEINERAdvisorregistration: previous registration
Feb 20, 2015 to Jan 4, 2022factForm ADV
← DUNCAN SCOTT HIGHMARKAdvisorregistration: previous registration
Feb 20, 2015 to Jan 3, 2022factForm ADV
← STEVEN GREGORY ROTELLOAdvisorregistration: previous registration
Nov 10, 2017 to Jan 3, 2022factForm ADV
← John FischerAdvisorregistration: previous registration
Jul 13, 2021 to Jan 3, 2022factForm ADV
← SARAH ANN WOLKAdvisorregistration: previous registration
May 8, 2017 to Jan 3, 2022factForm ADV
← Brian Jacob KnappAdvisorregistration: previous registration
Jul 13, 2021 to Jan 3, 2022factForm ADV
← Lance Douglas LehmannAdvisorregistration: previous registration
Apr 6, 2018 to Jan 3, 2022factForm ADV
← JOSHUA JAY JERELEAdvisorregistration: previous registration
Apr 6, 2018 to Dec 15, 2021factForm ADV
← LUKE ANDREW TURNERAdvisorregistration: previous registration
Mar 13, 2017 to Mar 24, 2021factForm ADV
← Jacob Edward TurnerAdvisorregistration: previous registration
Sep 21, 2020 to Mar 24, 2021factForm ADV
← JOSEPH A METCALFAdvisorregistration: previous registration
Sep 4, 2019 to Oct 15, 2019factForm ADV
← ZACHARY STEVEN WAGGANERAdvisorregistration: previous registration
Aug 1, 2016 to Apr 25, 2018factForm ADV

Dated events

Occurred
Jan 4, 2022
Advisor changed firm
Gail Marie Wild left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2022
Advisor changed firm
Michelle Kathleen Brown left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2022
Advisor changed firm
Tyler Campo left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2022
Advisor changed firm
James Robert Steiner left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2022
Advisor changed firm
Larry Keith Shikles left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Firm absorbed
Mosaic Family Wealth, LLC's advisors moved to Mosaic Wealth (ST Louis, MO): 11 of 11 registered, a day apart
Form ADVobserved 6 days ago
11 advisors
Occurred
Jan 3, 2022
Advisor changed firm
Sarah Ann Wolk left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Lance Douglas Lehmann left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
John Fischer left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Duncan Scott Highmark left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Steven Gregory Rotello left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2025-01-24)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Brian Jacob Knapp left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
Form ADVobserved 6 days ago
Occurred
Jul 13, 2021
Control person joined
Michael John Fischer (Chief Investment Officer) appeared on Schedule A of Mosaic Family Wealth, Llc
Form ADVobserved 6 days ago
Occurred
Mar 16, 2021
Regulatory AUM changed
Mosaic Family Wealth, Llc reported RAUM $1.2B, up 43% from $812.3M (2021-02-13 to 2021-03-16)
Form ADVobserved 6 days ago
$351M
Occurred
Mar 23, 2020
Control person joined
Gregory Steven Rotello (Member) appeared on Schedule A of Mosaic Family Wealth, Llc
Form ADVobserved 6 days ago
Occurred
Mar 20, 2018
Regulatory AUM changed
Mosaic Family Wealth, Llc reported RAUM $712.9M, up 33% from $536.8M (2017-11-10 to 2018-03-20)
Form ADVobserved 6 days ago
$176M
Occurred
Apr 3, 2014
First Form ADV filing
Orchid Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2afac742-b88d-9ae6-3663-2a7e42748ab0
First observed: Apr 3, 2014
Last observed: Nov 1, 2021 59 months 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.

MOSAIC FAMILY WEALTH, LLC

CRD 170923

ST. LOUIS, MO

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:2afac742-b88d-9ae6-3663-2a7e42748ab0

Data as of Nov 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, MICHELLE, KATHLEEN

PRINCIPAL AND DIRECTOR OF CLIENT ADVISORY SERVICES

yes

01/2018

Mar 20, 2018

Nov 1, 2021

FISCHER, JOHN, MICHAEL

CHIEF INVESTMENT OFFICER

yes

06/2021

Jul 13, 2021

Nov 1, 2021

HIGHMARK, DUNCAN, SCOTT

PRESIDENT, PRINCIPAL, AND CHIEF COMPLIANCE OFFICER

yes

02/2015

Feb 20, 2015

Nov 1, 2021

ROTELLO, STEVEN, GREGORY

Principal

yes

01/2019

Mar 23, 2020

Nov 1, 2021

SHIKLES, LARRY, KEITH

Principal

yes

02/2015

Feb 20, 2015

Nov 1, 2021

City

State

Country

Employees

Also broker-dealer

GREENWOOD VILLAGE

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 16, 2021

$1.2B

$1.1B

n/a

2019

Mar 23, 2020

$812M

$628M

n/a

2018

Mar 18, 2019

$710M

$568M

n/a

2017

Mar 20, 2018

$713M

$550M

n/a

2016

Mar 15, 2017

$440M

n/a

2015

Mar 12, 2016

$361M

n/a

2014

Feb 11, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.2B

$812M

43.2%

$713M

17.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MOSAIC WEALTH

Jan 3, 2022

Jan 24, 2025

ST LOUIS, MO

Firm absorbed

RIA to new firm

100.0%

MOMENT PRIVATE WEALTH

Mar 24, 2021

Apr 20, 2021

ST LOUIS, MO

Team lift out

RIA to RIA

16.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MORGAN STANLEY

Mar 5, 2015

Jun 26, 2020

CHESTERFIELD, MO

Team lift out

Wirehouse to new firm

0.0%