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.
SEC-registered adviser
Mosaic Wealth
Legal name Mosaic Family Wealth Partners, LLC
Latest filing Mar 30, 2026
First filing on the tape Oct 22, 2021 · 23 filings
SEC status approved since Nov 24, 2021
RAUM
$2.0B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
93%
$1.9B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
22
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 16, 2022$1.3B then
HNW client RAUM$1.7B as of Mar 30, 2026
Mar 16, 2022$1.1B then
State-registered IARs (5.B.3)19 as of Mar 30, 2026
Mar 16, 202214 then
Employees (5.A)22 as of Mar 30, 2026
Mar 16, 202218 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 16 to 19
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $422,963derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 581reportedItem 5.H
- Custody
- $145M, 262 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B84%
- Individuals$173M8.5%
- Pension and profit-sharing plans$72.3M3.5%
- Corporations and businesses$48.8M2.4%
- Charitable organizations$24.1M1.2%
- Individual clients
- 453reported
- HNW clients
- 321reported
- Pension plan clients
- 13reported
- Charitable clients
- 11reported
- Accounts
- 4,827reported
- Financial planning clients
- 581reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 262 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Duncan Scott HighmarkCertified Financial Planner | St. Louis, Mo | Jan 4, 2022 | 30 y | 4 |
| Lance Douglas LehmannChartered Financial Analyst | St. Louis, Mo | Jan 4, 2022 | 11 y | 1 |
| Sarah Ann WolkCertified Financial Planner | St. Louis, Mo | Jan 4, 2022 | 16 y | 1 |
| Brian Jacob KnappCertified Financial Planner | St. Louis, Mo | Jan 4, 2022 | 18 y | 4 |
| Michelle Kathleen BrownCertified Financial Planner | St. Louis, Mo | Jan 6, 2022 | 25 y | 4 |
| Tyler CampoChartered Financial Consultant | St. Louis, Mo | Jan 6, 2022 | 20 y | 2 |
| James Robert Steiner | St. Louis, Mo | Jan 6, 2022 | 13 y | 2 |
| Larry Keith Shikles | St. Louis, Mo | Jan 6, 2022 | 32 y | 3 |
| Gail Marie Wild | St. Louis, Mo | Jan 6, 2022 | 26 y | 2 |
| John Andrew Linton | St. Louis, Mo | Jan 30, 2023 | 10 y | 1 |
| Bethany Anne Lepage | St. Louis, Mo | Jun 14, 2023 | 17 y | 0 |
| Kevin Lisch | St. Louis, Mo | Nov 15, 2023 | 10 y | 0 |
| Joseph Michael Cella | Greenwood Village, Co | Dec 1, 2023 | 14 y | 1 |
| Robert Michael Potter | St. Louis, Mo | May 17, 2024 | 12 y | 0 |
| Steven Gregory RotelloCertified Financial Planner | St. Louis, Mo | Jan 24, 2025 | 25 y | 4 |
| Gregg M Cole | St. Louis, Mo | Jul 16, 2025 | 25 y | 0 |
| Sean C NicolCertified Financial Planner | St. Louis, Mo | Mar 30, 2026 | 10 y | 5 |
| Manson Taylor Clement | St. Louis, Mo | May 22, 2026 | 11 y | 0 |
| Christopher Russell HighmarkChartered Financial Analyst | St. Louis, Mo | Jul 23, 2026 | 15 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- John Fischer to Larson Financial Group, LLCSep 19, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Sean C Nicol from Osaic Institutions, Inc.Mar 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Steven Gregory Rotello from Mosaic Family Wealth, LLCJan 24, 2025 · RIA to RIA
- Joseph Michael Cella from Capital Client Group, Inc.Dec 1, 2023 · Other
- John Andrew Linton from Moneta Group Investment Advisors, LLCJan 30, 2023 · RIA to RIA
- Michelle Kathleen Brown from Mosaic Family Wealth, LLCJan 6, 2022 · RIA to a newly registered adviser
- Larry Keith Shikles from Mosaic Family Wealth, LLCJan 6, 2022 · RIA to a newly registered adviser
- James Robert Steiner from Mosaic Family Wealth, LLCJan 6, 2022 · RIA to a newly registered adviser
- Gail Marie Wild from Mosaic Family Wealth, LLCJan 6, 2022 · RIA to a newly registered adviser
- Tyler Campo from Mosaic Family Wealth, LLCJan 6, 2022 · RIA to a newly registered adviser
- John Fischer from Mosaic Family Wealth, LLCJan 4, 2022 · RIA to a newly registered adviser
- Brian Jacob Knapp from Mosaic Family Wealth, LLCJan 4, 2022 · RIA to a newly registered adviser
- Duncan Scott Highmark from Mosaic Family Wealth, LLCJan 4, 2022 · RIA to a newly registered adviser
- Lance Douglas Lehmann from Mosaic Family Wealth, LLCJan 4, 2022 · RIA to a newly registered adviser
- Sarah Ann Wolk from Mosaic Family Wealth, LLCJan 4, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 11 joined from Mosaic Family Wealth, LLCJan 3, 2022 · St Louis, Mo · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kathleen Michelle Brown · Principal & Sr. Wealth Advisorcontrolsince 10/2021 · owns less than 5%
- Scott Duncan Highmark · President And Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- Gregory Steven Rotello · Principal, Managing Director - Denvercontrolsince 10/2021 · owns less than 5%
- Keith Larry Shikles · Senior Wealth Advisor, Principalcontrolsince 10/2021 · owns less than 5%
- Tyler Campo · Principal, Chief Growth Officersince 08/2024 · owns less than 5%
Entity owners
- Focus Operating, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Co-Investor, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Focus Risk Solutions, LLCreal estaten
- Scs Capital Management LLCinvestment adviserpooled vehicle sponsornRAUM $49B
- Sentinel Benefits Group, LLCLP sponsorn
Advisers that list Mosaic Wealth as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 19 | 3 | 0 | ||
| Greenwood Village, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwood Village, CO2 employees
What changed
consecutive filings, newest first
- Accounts · 4,296 to 4,827Oct 20, 2025 to Mar 30, 2026
- Advisory employees · 16 to 19Oct 20, 2025 to Mar 30, 2026
- Corporate clients · 7 to 9Oct 20, 2025 to Mar 30, 2026
- HNW clients · 286 to 321Oct 20, 2025 to Mar 30, 2026
- Individual clients · 406 to 453Oct 20, 2025 to Mar 30, 2026
- Pension plan clients · 12 to 13Oct 20, 2025 to Mar 30, 2026
- Assets in custody · $209M to $145MOct 20, 2025 to Mar 30, 2026
- Employees · 20 to 22Oct 20, 2025 to Mar 30, 2026
- State-registered IARs · 16 to 19Oct 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.5BOct 20, 2025 to Mar 30, 2026
- HNW RAUM · $1.3B to $1.7BOct 20, 2025 to Mar 30, 2026
- Individual RAUM · $222M to $173MOct 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $470M to $516MOct 20, 2025 to Mar 30, 2026
- Pension RAUM · $58.8M to $72.3MOct 20, 2025 to Mar 30, 2026
- RAUM · $1.6B to $2.0BOct 20, 2025 to Mar 30, 2026
- Accounts · 3,215 to 4,296Dec 23, 2024 to Mar 24, 2025
- Advisory employees · 15 to 16Dec 23, 2024 to Mar 24, 2025
- Business name · MOSAIC FAMILY WEALTH to MOSAIC WEALTHDec 23, 2024 to Mar 24, 2025
- Charity clients · 9 to 11Dec 23, 2024 to Mar 24, 2025
- Corporate clients · 4 to 7Dec 23, 2024 to Mar 24, 2025
- HNW clients · 278 to 286Dec 23, 2024 to Mar 24, 2025
- Individual clients · 311 to 406Dec 23, 2024 to Mar 24, 2025
- Assets in custody · $486M to $209MDec 23, 2024 to Mar 24, 2025
- Employees · 19 to 20Dec 23, 2024 to Mar 24, 2025
- Financial planning clients · More than 500 to More than 500Dec 23, 2024 to Mar 24, 2025
- State-registered IARs · 15 to 16Dec 23, 2024 to Mar 24, 2025
- Discretionary RAUM · $998M to $1.2BDec 23, 2024 to Mar 24, 2025
- HNW RAUM · $1.1B to $1.3BDec 23, 2024 to Mar 24, 2025
- Individual RAUM · $145M to $222MDec 23, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $438M to $470MDec 23, 2024 to Mar 24, 2025
- Pension RAUM · $103M to $58.8MDec 23, 2024 to Mar 24, 2025
- RAUM · $1.4B to $1.6BDec 23, 2024 to Mar 24, 2025
- Accounts · 3,264 to 3,215Oct 20, 2023 to Mar 27, 2024
- Advisory employees · 13 to 15Oct 20, 2023 to Mar 27, 2024
- BD registered reps · 4 to 2Oct 20, 2023 to Mar 27, 2024
- Charity clients · 6 to 9Oct 20, 2023 to Mar 27, 2024
- Corporate clients · 7 to 4Oct 20, 2023 to Mar 27, 2024
- HNW clients · 280 to 278Oct 20, 2023 to Mar 27, 2024
- Individual clients · 282 to 311Oct 20, 2023 to Mar 27, 2024
- Pension plan clients · unset to 12.0Oct 20, 2023 to Mar 27, 2024
Signals
4 dated events
- John Fischer left Mosaic Wealth for Larson Financial Group, Llc (registered 2025-11-03)Sep 19, 2023 · Advisor changed firm · fact
- Michael John Fischer (Chief Investment Officer) no longer on Schedule A of Mosaic Wealth (listed 2023-06-30, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Mosaic Family Wealth, LLC's advisors moved to Mosaic Wealth (ST Louis, MO): 11 of 11 registered, a day apartJan 3, 2022 · Firm absorbed (people side) · derived
- Mosaic Family Wealth filed its initial SEC registration (Form ADV)Oct 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Mosaic Wealth · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@mosaicwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-627-5220reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-627-5240reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-639-7200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mosaic-family-wealthreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/2064318reportedpublic record, Form ADV, Sep 17, 2026
- Website
- mosaicwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 314-627-5220reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- mosaicwealth.com/who-we-arereportedpublished 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026