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.
Former SEC-registered adviser
Mosaic Financial Partners, Inc.
Latest filing Jun 4, 2018
First filing on the tape Mar 16, 2012 · 29 filings
RAUM
$623M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$617M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$623M as of Mar 27, 2018
Mar 16, 2012$438M then
HNW client RAUM: $575M
State-registered IARs (5.B.3)12 as of Mar 27, 2018
Mar 16, 20120 then
Employees (5.A)19 as of Mar 27, 2018
Mar 15, 201316 then
Private funds: no history
RAUM +12% over the last fiscal year+0.6% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jun 4, 2018; every figure names its basis
- RAUM per advisor
- $51.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $560M, 224 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$575M92%
- Individuals$42.0M6.7%
- Charitable organizations$4.7M0.7%
- Pension and profit-sharing plans$1.2M0.2%
- Individual clients
- 79reported
- HNW clients
- 177reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 264reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $560M for 224 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Stephen Atwood Kepler to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- T. Steven Branton to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- Elizabeth Lawrence Revenko to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- Geoffrey Mitchell Zimmerman to Integrated Advisors Network LLCOct 19, 2018 · RIA to RIA
- Mary Louise Ballin to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- Sabrina Francis Lowell to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- Sheila Mie Schroeder to Wealthspire AdvisorsOct 19, 2018 · RIA to RIA
- Holly Gillian Kindel to Occidental Asset Management, LLCDec 13, 2017 · Other
- David Bruce Lawrence to Raub Brock Capital Management, LPJun 10, 2013 · Other
- Linda Lubitz Boone to Meira WealthJun 14, 2011 · Other
- Gabriel Stephen Brenner to Brenner FinancialFeb 4, 2004 · Other
Joined, latest
- T. Steven Branton from Hilltop Advisors, LLCNov 21, 2011 · Other
- Geoffrey Mitchell Zimmerman from Wells Fargo Investments, LLCAug 2, 2007 · Other
- Mary Louise Ballin from Charles Schwab & Co., Inc.Sep 18, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Wealthspire AdvisorsOct 19, 2018 · San Francisco, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mckieghan Norman Boone · Ceocontrolsince 05/1999 · owns 75% or more
- Marc Kevin Gahagan · Principal & Ciocontrolsince 01/2006 · owns 5% to 10%
- Francis Sabrina Lowell · Principal & Coocontrolsince 10/2013 · owns less than 5%
- Mitchell Geoffrey Zimmerman · Principal & Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
Related persons
Schedule D 7.A
- Meira Wealthinvestment advisernRAUM $318M
Offices
Schedule D 1.F, the 25 largest
- Walnut Creek, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 868 to 264Apr 4, 2017 to Mar 27, 2018
- Charity clients · unset to 9.0Apr 4, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Apr 4, 2017 to Mar 27, 2018
- HNW clients · unset to 177.0Apr 4, 2017 to Mar 27, 2018
- Individual clients · unset to 79.0Apr 4, 2017 to Mar 27, 2018
- Pension plan clients · unset to 3.0Apr 4, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Apr 4, 2017 to Mar 27, 2018
- Assets in custody · $2.3M to $560MApr 4, 2017 to Mar 27, 2018
- Employees · 18 to 19Apr 4, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Apr 4, 2017 to Mar 27, 2018
- Discretionary RAUM · $557M to $623MApr 4, 2017 to Mar 27, 2018
- HNW RAUM · unset to 575030295.0Apr 4, 2017 to Mar 27, 2018
- Individual RAUM · unset to 41995550.0Apr 4, 2017 to Mar 27, 2018
- Pension RAUM · unset to 1177344.0Apr 4, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 0.0Apr 4, 2017 to Mar 27, 2018
- RAUM · $557M to $623MApr 4, 2017 to Mar 27, 2018
- Accounts · 927 to 868Jan 4, 2017 to Mar 29, 2017
- Assets in custody · $2.3M to $2.3MJan 4, 2017 to Mar 29, 2017
- Discretionary RAUM · $555M to $557MJan 4, 2017 to Mar 29, 2017
- RAUM · $555M to $557MJan 4, 2017 to Mar 29, 2017
- Advisory employees · 11 to 12Jun 16, 2016 to Dec 13, 2016
- State-registered IARs · 10 to 12Jun 16, 2016 to Dec 13, 2016
- Accounts · 933 to 927Sep 23, 2015 to Mar 10, 2016
- Advisory employees · 12 to 11Sep 23, 2015 to Mar 10, 2016
- Assets in custody · $2.5M to $2.3MSep 23, 2015 to Mar 10, 2016
- Employees · 17 to 18Sep 23, 2015 to Mar 10, 2016
- State-registered IARs · 12 to 10Sep 23, 2015 to Mar 10, 2016
- Discretionary RAUM · $612M to $555MSep 23, 2015 to Mar 10, 2016
- RAUM · $612M to $555MSep 23, 2015 to Mar 10, 2016
- Accounts · 262 to 933Nov 21, 2014 to Mar 18, 2015
- Assets in custody · $2.6M to $2.5MNov 21, 2014 to Mar 18, 2015
- Discretionary RAUM · $575M to $612MNov 21, 2014 to Mar 18, 2015
- RAUM · $575M to $612MNov 21, 2014 to Mar 18, 2015
- Accounts · 255 to 262Feb 21, 2014 to Mar 18, 2014
- Assets in custody · $2.6M to $2.6MFeb 21, 2014 to Mar 18, 2014
- Employees · 16 to 17Feb 21, 2014 to Mar 18, 2014
- Financial planning clients · 251-500 to 101-250Feb 21, 2014 to Mar 18, 2014
- State-registered IARs · 10 to 12Feb 21, 2014 to Mar 18, 2014
- Discretionary RAUM · $550M to $575MFeb 21, 2014 to Mar 18, 2014
- RAUM · $550M to $575MFeb 21, 2014 to Mar 18, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026