DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Steven Gregory Rotello

Mosaic Wealthindependent RIASt. Louis, Mo dual registrantIAPD 4228803

Certified Financial Planner

Feed of 09/15/2026

Also filed as Steve G Rotello

At current firm

1 y

since Jan 24, 2025

In the industry

25 y

since Nov 2, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Principal, Denverreportedmosaicwealth.comfirm site, Sep 15, 2026
Professional profile: mosaicwealth.com/who-we-are/steve-rotelloreportedmosaicwealth.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Mosaic Wealth independent RIA current
since Jan 24, 2025 · St. Louis, Mo
Mosaic Family Wealth, LLC former
Nov 10, 2017 to Jan 3, 2022 · Greenwood Village, Co
UBS Financial Services Inc. wirehouse
Sep 5, 2008 to Nov 27, 2017 · Denver, Co
Wells Fargo Advisors wirehouse
Jan 1, 2008 to Sep 19, 2008 · Broomfield, Co
A. G. Edwards & Sons, Inc. unclassified
Apr 13, 2001 to Jan 1, 2008 · Broomfield, Co

Moves

a registration end followed by a registration begin elsewhere

Mosaic Family Wealth, LLC to Mosaic Wealth
left Jan 3, 2022, registered Jan 24, 2025 (1117 days) · RIA to RIA · moved with a team
UBS Financial Services Inc. to Mosaic Family Wealth, LLC
left Nov 27, 2017, registered Nov 10, 2017 (-17 days) · Wirehouse to independent RIA
Wells Fargo Advisors to UBS Financial Services Inc.
left Sep 19, 2008, registered Sep 5, 2008 (-14 days) · Wirehouse to wirehouse
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

Steven Gregory Rotello left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2025-01-24)
Jan 3, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address