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.
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SEC-registered adviser
T•• M••••• F•••••••• G••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Nov 17, 2000
RAUM
$949M
reported, Item 5.F
Discretionary
32%
of RAUM
Private clients
98%
$934M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
27
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$949M as of Mar 25, 2026
Mar 29, 2012$313M then
HNW client RAUM$934M as of Mar 25, 2026
Mar 28, 2018$659M then
State-registered IARs (5.B.3)9 as of Mar 25, 2026
Mar 29, 20120 then
Employees (5.A)27 as of Mar 25, 2026
Mar 28, 201322 then
Private funds: no history
RAUM +5.6% over the last fiscal year-0.0% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 32%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%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 individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $207M, 23 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$934M98%
- Charitable organizations$9.1M1.0%
- Corporations and businesses$6.1M0.6%
- Individual clients
- n/areported
- HNW clients
- 130reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 596reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••••• M•••• W••••Certified Financial Planner | C••••••, Il | Dec 1, 2000 | 29 y | 0 |
| T•••••• J••• D••••••• | C••••••, Il | Jun 28, 2004 | 22 y | 0 |
| R••• T••••• S••••••••• | C••••••, Il | Dec 15, 2010 | 25 y | 1 |
| B••••••• W••• L••••••• | C••••••, Il | Jun 4, 2013 | 15 y | 0 |
| J••••• G• H•••••• | C••••••, Il | Jul 2, 2014 | 14 y | 0 |
| D•••••• J• A•••• | C••••••, Il | Jan 7, 2022 | 23 y | 0 |
| F•••• B•••••• M••••• | C••••••, Il | Jul 10, 2023 | 10 y | 0 |
| C••••• J•••• W•••••• | C••••••, Il | Jul 18, 2023 | 13 y | 0 |
| A•••••• L•• | C••••••, Il | Feb 12, 2024 | 11 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L••• J••• J•••• to L•• F•••••••• L••Sep 15, 2010 · Other
- C•••••• J••• C•••••• to A• W•••••Sep 15, 2010 · Other
- J•••• G••••• H••••••• to C•••••• P••••••• I••••••••• G•••• L••Jan 30, 2009 · Other
- A•••••• J••••• H••••• to C•••••• P••••••• I••••••••• G•••• L••Jan 30, 2009 · Other
- B•••• J• M••••• to A•• D••••••••• I•••Jan 22, 2008 · Other
- C•••••••• A• S••••• to B••• O• A•••••• I••••••••• S•••••••• I•••Jul 24, 2006 · Other
Joined, latest
- R••• T••••• S••••••••• from C•••••• S••••• • C••• I•••Dec 15, 2010 · Other
- J•••• G••••• H••••••• from P••••••••• I••••••••• A••••••• L••Oct 9, 2007 · Other
- B•••• J• M••••• from N••••• F••• A•••••••• L••Mar 23, 2007 · Other
- C•••••••• A• S••••• from B••••••• A•••• M••••••••• L••Apr 12, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• D••••••• J• · Partnercontrolsince 01/2018 · owns 25% to 50%
- D•••••••• T••••••• J••• · Partner, Chief Compliance Officercontrolsince 01/2018 · owns 25% to 50%
- W••••• J••••••••• M•••• · Partnercontrolsince 10/2000 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| C••••••, Il · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 17, 2026employees per registered advisor of 3.0 against a peer median of 1.4 (950 comparable advisers, 98.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $500M to $1B (950) · 98% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 25, 2026 to Sep 17, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 17, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 17, 2026
- Succession · false to unsetMar 25, 2026 to Sep 17, 2026
- Accounts · 569 to 596Jan 22, 2026 to Mar 25, 2026
- Charity clients · 1 to 2Jan 22, 2026 to Mar 25, 2026
- HNW clients · 125 to 130Jan 22, 2026 to Mar 25, 2026
- Assets in custody · $189M to $207MJan 22, 2026 to Mar 25, 2026
- Employees · 24 to 27Jan 22, 2026 to Mar 25, 2026
- Discretionary RAUM · $289M to $305MJan 22, 2026 to Mar 25, 2026
- HNW RAUM · $877M to $934MJan 22, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $609M to $644MJan 22, 2026 to Mar 25, 2026
- RAUM · $898M to $949MJan 22, 2026 to Mar 25, 2026
- Accounts · 589 to 569Mar 20, 2024 to Mar 20, 2025
- HNW clients · 128 to 125Mar 20, 2024 to Mar 20, 2025
- Assets in custody · $179M to $189MMar 20, 2024 to Mar 20, 2025
- Employees · 23 to 24Mar 20, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $413M to $289MMar 20, 2024 to Mar 20, 2025
- HNW RAUM · $797M to $877MMar 20, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $532M to $609MMar 20, 2024 to Mar 20, 2025
- RAUM · $945M to $898MMar 20, 2024 to Mar 20, 2025
- Accounts · 584 to 589Mar 30, 2023 to Mar 20, 2024
- Advisory employees · 8 to 9Mar 30, 2023 to Mar 20, 2024
- Corporate clients · 2 to 1Mar 30, 2023 to Mar 20, 2024
- HNW clients · 122 to 128Mar 30, 2023 to Mar 20, 2024
- Assets in custody · $141M to $179MMar 30, 2023 to Mar 20, 2024
- Employees · 22 to 23Mar 30, 2023 to Mar 20, 2024
- State-registered IARs · 7 to 9Mar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $445M to $413MMar 30, 2023 to Mar 20, 2024
- HNW RAUM · $716M to $797MMar 30, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $505M to $532MMar 30, 2023 to Mar 20, 2024
- RAUM · $950M to $945MMar 30, 2023 to Mar 20, 2024
- Accounts · 585 to 584Mar 17, 2022 to Mar 30, 2023
- HNW clients · 121 to 122Mar 17, 2022 to Mar 30, 2023
- Assets in custody · $164M to $141MMar 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $518M to $445MMar 17, 2022 to Mar 30, 2023
- HNW RAUM · $836M to $716MMar 17, 2022 to Mar 30, 2023
Signals
1 dated events
- Douglas Craig Stepnicka (Director) no longer on Schedule A of T•• M••••• F•••••••• G••••• L•• (listed 2019-03-26, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 312-255-5490reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-255-5495reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/themosaicfinancialgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- themosaicgroupllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-255-5490reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- themosaicgroupllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- themosaicgroupllc.com/team-memberreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026