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 Pacific Investment Advisors
Legal name Mosaic Pacific Investment Advisors LLC
Latest filing Mar 7, 2025
First filing on the tape Jul 29, 2019 · 11 filings
SEC status approved since Aug 29, 2019
RAUM
$434M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$331M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$434M as of Mar 7, 2025
Mar 24, 2020$300M then
HNW client RAUM$174M as of Mar 7, 2025
Mar 24, 2020$58.6M then
State-registered IARs (5.B.3)7 as of Mar 7, 2025
Mar 24, 20206 then
Employees (5.A)8 as of Mar 7, 2025
Mar 24, 20207 then
Private funds: no history
RAUM +14% over the last fiscal year+2.6% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
- RAUM per advisor
- $62.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $270,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $86.4M, 291 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M40%
- Individuals$157M36%
- Corporations and businesses$103M24%
- Individual clients
- 516reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,604reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.4M for 291 clientsreported
- Compensation
- % of AUM, 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
- Gage Waiwaiole to Creative PlanningAug 7, 2025 · RIA to RIA
- Cory Michael Nakamura to Investment Management HawaiiAug 7, 2025 · RIA to RIA
- Jeanne Marie Stjohn to Creative PlanningAug 7, 2025 · RIA to RIA
- Andrea E.L. Deutsch to Creative PlanningAug 7, 2025 · RIA to RIA
- Brian Kiyoto Ishihara to Creative PlanningAug 7, 2025 · RIA to RIA
Joined, latest
- Jeanne Marie Stjohn from Advice And Planning ServicesJun 19, 2019 · Affiliated broker-dealer or bank to independent RIA
- Andrea E.L. Deutsch from Lee Financial Group Hawaii, Inc.Feb 21, 2014 · Other
- Brian Kiyoto Ishihara from Lee Financial Group Hawaii, Inc.Dec 23, 2013 · Other
- Cory Michael Nakamura from Lee Financial Group Hawaii, Inc.Dec 20, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Creative PlanningAug 7, 2025 · Honolulu, Hi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E.L. Andrea Deutsch · Ownercontrolsince 03/2014 · owns 25% to 50%
- Kiyoto Brian Ishihara · Ownercontrolsince 03/2014 · owns 25% to 50%
- Michael Cory Nakamura · Ownercontrolsince 10/2013 · owns 10% to 25%
- Kaneichi Matthew Tanaka · Owner Chief Compliance Officercontrolsince 10/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Honolulu, Hi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,532 to 1,604Mar 19, 2024 to Mar 7, 2025
- Corporate clients · 25 to 21Mar 19, 2024 to Mar 7, 2025
- HNW clients · 70 to 91Mar 19, 2024 to Mar 7, 2025
- Individual clients · 523 to 516Mar 19, 2024 to Mar 7, 2025
- Assets in custody · $42.2M to $86.4MMar 19, 2024 to Mar 7, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Mar 7, 2025
- Discretionary RAUM · $380M to $434MMar 19, 2024 to Mar 7, 2025
- HNW RAUM · $134M to $174MMar 19, 2024 to Mar 7, 2025
- Individual RAUM · $150M to $157MMar 19, 2024 to Mar 7, 2025
- RAUM · $380M to $434MMar 19, 2024 to Mar 7, 2025
- Accounts · 1,496 to 1,532Jul 28, 2023 to Mar 19, 2024
- Corporate clients · 24 to 25Jul 28, 2023 to Mar 19, 2024
- HNW clients · 52 to 70Jul 28, 2023 to Mar 19, 2024
- Individual clients · 526 to 523Jul 28, 2023 to Mar 19, 2024
- Assets in custody · $38.1M to $42.2MJul 28, 2023 to Mar 19, 2024
- HQ city · unset to HONOLULUJul 28, 2023 to Mar 19, 2024
- HQ state · unset to HIJul 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $337M to $380MJul 28, 2023 to Mar 19, 2024
- HNW RAUM · $94.5M to $134MJul 28, 2023 to Mar 19, 2024
- Individual RAUM · $145M to $150MJul 28, 2023 to Mar 19, 2024
- RAUM · $337M to $380MJul 28, 2023 to Mar 19, 2024
- Accounts · 1,440 to 1,496Oct 31, 2022 to Mar 20, 2023
- Corporate clients · 26 to 24Oct 31, 2022 to Mar 20, 2023
- HNW clients · 77 to 52Oct 31, 2022 to Mar 20, 2023
- Individual clients · 497 to 526Oct 31, 2022 to Mar 20, 2023
- Assets in custody · $38.9M to $38.1MOct 31, 2022 to Mar 20, 2023
- Discretionary RAUM · $402M to $337MOct 31, 2022 to Mar 20, 2023
- HNW RAUM · $138M to $94.5MOct 31, 2022 to Mar 20, 2023
- Individual RAUM · $144M to $145MOct 31, 2022 to Mar 20, 2023
- RAUM · $402M to $337MOct 31, 2022 to Mar 20, 2023
- Accounts · 1,350 to 1,440Aug 12, 2021 to Mar 11, 2022
- Advisory employees · 6 to 7Aug 12, 2021 to Mar 11, 2022
- Corporate clients · 23 to 26Aug 12, 2021 to Mar 11, 2022
- HNW clients · 53 to 77Aug 12, 2021 to Mar 11, 2022
- Individual clients · 498 to 497Aug 12, 2021 to Mar 11, 2022
- Assets in custody · $107M to $38.9MAug 12, 2021 to Mar 11, 2022
- Employees · 7 to 8Aug 12, 2021 to Mar 11, 2022
- State-registered IARs · 6 to 7Aug 12, 2021 to Mar 11, 2022
- Discretionary RAUM · $341M to $402MAug 12, 2021 to Mar 11, 2022
- HNW RAUM · $98.5M to $138MAug 12, 2021 to Mar 11, 2022
Signals
8 dated events
- Mosaic Pacific Investment Advisors no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $434.0M)Dec 20, 2025 · Left the SEC roster · derived
- Jeanne Marie Stjohn left Mosaic Pacific Investment Advisors for Creative Planning (registered 2025-07-01)Aug 7, 2025 · Advisor changed firm · fact
- Cory Michael Nakamura left Mosaic Pacific Investment Advisors for Investment Management Hawaii (registered 2018-03-01)Aug 7, 2025 · Advisor changed firm · fact
- Gage Waiwaiole left Mosaic Pacific Investment Advisors for Creative Planning (registered 2025-07-01)Aug 7, 2025 · Advisor changed firm · fact
- Brian Kiyoto Ishihara left Mosaic Pacific Investment Advisors for Creative Planning (registered 2025-07-01)Aug 7, 2025 · Advisor changed firm · fact
- Andrea E.L. Deutsch left Mosaic Pacific Investment Advisors for Creative Planning (registered 2025-07-01)Aug 7, 2025 · Advisor changed firm · fact
- Mosaic Pacific Investment Advisors's advisors moved to Creative Planning (Honolulu, HI): 4 of 5 registered, on the same dayAug 7, 2025 · Firm absorbed (people side) · derived
- Mosaic Pacific Investment Advisors filed its initial SEC registration (Form ADV)Jul 29, 2019 · First SEC registration · fact
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