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 Family Wealth, LLC

Former SEC-registered adviserSt. Louis, MissouriCRD 170923SEC 801-79586IAPD
Latest filing Nov 1, 2021
First filing on the tape Apr 3, 2014 · 28 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.2B as of Mar 16, 2021
Mar 12, 2016$361M then
HNW client RAUM$961M as of Mar 16, 2021
Mar 20, 2018$620M then
State-registered IARs (5.B.3)12 as of Mar 16, 2021
Feb 11, 20150 then
Employees (5.A)15 as of Mar 16, 2021
Feb 11, 20151 then
Private funds: no history
RAUM +43% over the last fiscal year+18% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Nov 1, 2021; every figure names its basis
RAUM per advisor
$96.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$424,281derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$377M, 258 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)
  • 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$961M83%
  • Individuals$101M8.7%
  • Corporations and businesses$45.0M3.9%
  • Pension and profit-sharing plans$41.6M3.6%
  • Charitable organizations$13.9M1.2%
Individual clients
240reported
HNW clients
259reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
2,741reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$377M for 258 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Kathleen Michelle Brown · Principal And Director Of Client Advisory Servicescontrol
    since 01/2018 · owns less than 5%
  • Michael John Fischer · Chief Investment Officercontrol
    since 06/2021 · owns less than 5%
  • Scott Duncan Highmark · President, Principal, And Chief Compliance Officercontrol
    since 02/2015 · owns 50% to 75%
  • Gregory Steven Rotello · Principalcontrol
    since 01/2019 · owns 10% to 25%
  • Keith Larry Shikles · Principalcontrol
    since 02/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Greenwood Village, CO4 employees
What changed
consecutive filings, newest first
  • Accounts · 2,275 to 2,741
    Feb 13, 2021 to Mar 16, 2021
  • Charity clients · 3 to 7
    Feb 13, 2021 to Mar 16, 2021
  • Corporate clients · 2.0 to unset
    Feb 13, 2021 to Mar 16, 2021
  • HNW clients · 248 to 259
    Feb 13, 2021 to Mar 16, 2021
  • Individual clients · 233 to 240
    Feb 13, 2021 to Mar 16, 2021
  • Pension plan clients · 2.0 to unset
    Feb 13, 2021 to Mar 16, 2021
  • Assets in custody · $633M to $377M
    Feb 13, 2021 to Mar 16, 2021
  • Employees · 18 to 15
    Feb 13, 2021 to Mar 16, 2021
  • Discretionary RAUM · $628M to $1.1B
    Feb 13, 2021 to Mar 16, 2021
  • HNW RAUM · $709M to $961M
    Feb 13, 2021 to Mar 16, 2021
  • Individual RAUM · $75.8M to $101M
    Feb 13, 2021 to Mar 16, 2021
  • Non-discretionary RAUM · $184M to $66.1M
    Feb 13, 2021 to Mar 16, 2021
  • Pension RAUM · $11.2M to $41.6M
    Feb 13, 2021 to Mar 16, 2021
  • RAUM · $812M to $1.2B
    Feb 13, 2021 to Mar 16, 2021
  • Accounts · 2,904 to 2,275
    Dec 2, 2019 to Mar 23, 2020
  • BD registered reps · 9 to 2
    Dec 2, 2019 to Mar 23, 2020
  • Charity clients · unset to 3.0
    Dec 2, 2019 to Mar 23, 2020
  • HNW clients · 205 to 248
    Dec 2, 2019 to Mar 23, 2020
  • Individual clients · 223 to 233
    Dec 2, 2019 to Mar 23, 2020
  • Assets in custody · $543M to $633M
    Dec 2, 2019 to Mar 23, 2020
  • Employees · 16 to 18
    Dec 2, 2019 to Mar 23, 2020
  • Discretionary RAUM · $568M to $628M
    Dec 2, 2019 to Mar 23, 2020
  • HNW RAUM · $634M to $709M
    Dec 2, 2019 to Mar 23, 2020
  • Individual RAUM · $65.8M to $75.8M
    Dec 2, 2019 to Mar 23, 2020
  • Non-discretionary RAUM · $142M to $184M
    Dec 2, 2019 to Mar 23, 2020
  • Pension RAUM · $7.1M to $11.2M
    Dec 2, 2019 to Mar 23, 2020
  • RAUM · $710M to $812M
    Dec 2, 2019 to Mar 23, 2020
  • Accounts · 1,949 to 2,904
    Nov 30, 2018 to Mar 18, 2019
  • BD registered reps · 8 to 9
    Nov 30, 2018 to Mar 18, 2019
  • Corporate clients · unset to 2.0
    Nov 30, 2018 to Mar 18, 2019
  • HNW clients · 216 to 205
    Nov 30, 2018 to Mar 18, 2019
  • Individual clients · 224 to 223
    Nov 30, 2018 to Mar 18, 2019
  • Pension plan clients · 6 to 2
    Nov 30, 2018 to Mar 18, 2019
  • Assets in custody · $30.1M to $543M
    Nov 30, 2018 to Mar 18, 2019
  • State-registered IARs · 9 to 12
    Nov 30, 2018 to Mar 18, 2019
  • Discretionary RAUM · $550M to $568M
    Nov 30, 2018 to Mar 18, 2019
  • HNW RAUM · $620M to $634M
    Nov 30, 2018 to Mar 18, 2019
  • Individual RAUM · $63.6M to $65.8M
    Nov 30, 2018 to Mar 18, 2019
  • Non-discretionary RAUM · $163M to $142M
    Nov 30, 2018 to Mar 18, 2019
  • Pension RAUM · $25.5M to $7.1M
    Nov 30, 2018 to Mar 18, 2019
Signals
17 dated events
  • James Robert Steiner left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
  • Gail Marie Wild left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
  • Michelle Kathleen Brown left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
  • Larry Keith Shikles left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
  • Tyler Campo left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-06)
    Jan 4, 2022 · Advisor changed firm · fact
  • Lance Douglas Lehmann left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
    Jan 3, 2022 · Advisor changed firm · fact
  • Duncan Scott Highmark left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
    Jan 3, 2022 · Advisor changed firm · fact
  • Sarah Ann Wolk left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
    Jan 3, 2022 · Advisor changed firm · fact
  • Steven Gregory Rotello left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2025-01-24)
    Jan 3, 2022 · Advisor changed firm · fact
  • Brian Jacob Knapp left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
    Jan 3, 2022 · Advisor changed firm · fact
  • John Fischer left Mosaic Family Wealth, Llc for Mosaic Wealth (registered 2022-01-04)
    Jan 3, 2022 · Advisor changed firm · fact
  • Mosaic Family Wealth, LLC's advisors moved to Mosaic Wealth (ST Louis, MO): 11 of 11 registered, a day apart
    Jan 3, 2022 · Firm absorbed (people side) · derived
  • Michael John Fischer (Chief Investment Officer) appeared on Schedule A of Mosaic Family Wealth, Llc
    Jul 13, 2021 · Control person joined · fact
  • Mosaic Family Wealth, Llc reported RAUM $1.2B, up 43% from $812.3M (2021-02-13 to 2021-03-16)
    Mar 16, 2021 · RAUM change · derived
  • Gregory Steven Rotello (Member) appeared on Schedule A of Mosaic Family Wealth, Llc
    Mar 23, 2020 · Control person joined · fact
  • Mosaic Family Wealth, Llc reported RAUM $712.9M, up 33% from $536.8M (2017-11-10 to 2018-03-20)
    Mar 20, 2018 · RAUM change · derived
  • Orchid Advisors, Llc filed its initial SEC registration (Form ADV)
    Apr 3, 2014 · 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