Hedge Fund Database

MOSAIC FAMILY WEALTH

MOSAIC FAMILY WEALTH PARTNERS, LLC Legal Name

Adviser information for MOSAIC FAMILY WEALTH last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 15
Registered Broker-Dealer Representatives 2
Registered State Investment Advisers 15
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,383 $998.2M
Non-Discretionary 832 $438.2M
Total 3,215 $1.4B

Clients

Type Number RAUM
Individuals 311 $145.2M
HNW Individuals 278 $1.1B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 12 $102.8M
Charitable organizations 9 $20.4M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 4 $53.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 581

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CREDIT, CASH MANAGEMENT, AND INSURANCE SOLUTIONS
Compensation % of AUMFixed feesCommissionsREVENUE SHARING WITH OUR AFFILIATES, FRS AND FTCS.
Other Business Activities Insurance broker or agentCREDIT, CASH MANAGEMENT, AND INSURANCE SOLUTIONS

Identifiers

SEC RIA File Number 801-122745
SEC ERA File Number 801-122745
SEC CIK Numbers 1965241
SEC CRD Numbers 317377
Legal Entity Identifier None

Principal Office

1401 S. BRENTWOOD BLVD.
SUITE 630
ST. LOUIS
MO
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 314-627-5220, Fax: 314-627-5240

Websites

www.linkedin.com/company/mosaic-family-wealth/ focusfinancialpartners.com www.instagram.com/mosaicwealth/ www.mosaicwealth.com www.facebook.com/mosaicwealthadvisors/ twitter.com/focusfinancial www.linkedin.com/company/2064318/

Chief Compliance Officer

DUNCAN SCOTT HIGHMARK
PRESIDENT
1401 S. BRENTWOOD BLVD.
SUITE 630
ST. LOUIS
MO
United States
Tel: 314-627-5232
(Full email address available in API data)

Industry Affiliates

FOCUS RISK SOLUTIONS Insurance company or agency
SCS CAPITAL MANAGEMENT LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SENTINEL PENSION ADVISORS, LLC Pension consultant

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SHIKLES, LARRY, KEITH Individual – SENIOR WEALTH ADVISOR, PRINCIPAL 10/2021 < 5%
HIGHMARK, DUNCAN, SCOTT Individual – PRESIDENT AND CHIEF COMPLIANCE OFFICER 10/2021 < 5%
BROWN, MICHELLE, KATHLEEN Individual – DIRECTORY OF CLIENT ADVISORY SERVICES 10/2021 < 5%
ROTELLO, STEVEN, GREGORY Individual – MANAGING DIRECTOR, SENIOR WEALTH ADVISOR 10/2021 < 5%
FOCUS OPERATING, LLC Domestic Entity – MEMBER (MANAGER) 10/2021 > 75%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
FOCUS FINANCIAL PARTNERS INC. Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC. SHAREHOLDER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC. Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND CO-INVESTOR, L.P. PARTNER 08/2023 50-75%

No. Employees, Historic

201002021202220232024202515 on 10/22/202115 on 1/3/202215 on 1/28/202218 on 3/16/202218 on 3/29/202218 on 10/3/202218 on 11/18/202218 on 12/5/202217 on 3/23/202317 on 6/30/202317 on 9/19/202317 on 9/27/202317 on 9/29/202317 on 10/20/202319 on 3/27/202419 on 3/28/2024

RAUM, Historic

2B1B0202120222023202420250 on 10/22/20210 on 1/3/20221273203721 on 1/28/20221273203721 on 3/16/20221273203721 on 3/29/20221273203721 on 10/3/20221273203721 on 11/18/20221273203721 on 12/5/20221243834700 on 3/23/20231243834700 on 6/30/20231243834700 on 9/19/20231243834700 on 9/27/20231243834700 on 9/29/20231243834700 on 10/20/20231436354560 on 3/27/20241436354560 on 3/28/2024

No. Clients, Historic

7003500202120222023202420250 on 10/22/20210 on 1/3/2022548 on 1/28/2022548 on 3/16/2022548 on 3/29/2022548 on 10/3/2022548 on 11/18/2022548 on 12/5/2022575 on 3/23/2023575 on 6/30/2023575 on 9/19/2023575 on 9/27/2023575 on 9/29/2023575 on 10/20/2023614 on 3/27/2024614 on 3/28/2024

Holdings

From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM COM 210K 2K –
ABBOTT LABS COM COM 575K 6K –
ABBVIE INC COM COM 1M 6K –
ACCENTURE PLC IRELAND SHS CLASS A SHS CLASS A 431K 1K –
ADVANCED MICRO DEVICES INC COM COM 428K 3K –
ADVANTAGE SOLUTIONS INC COM CL A COM CL A 998K 310K –
AFLAC INC COM COM 202K 2K –
ALPHABET INC CAP STK CL A CAP STK CL A 921K 5K –
ALPHABET INC CAP STK CL C CAP STK CL C 3M 17K –
AMAZON COM INC COM COM 4M 22K –
AMEREN CORP COM COM 921K 13K –
AMGEN INC COM COM 441K 1K –
APPLE INC COM COM 15M 71K –
APPLIED MATLS INC COM COM 2M 7K –
ARTISAN PARTNERS ASSET MGMT IN CL A CL A 300K 7K –
AT&T INC COM COM 329K 17K –
BANK AMERICA CORP COM COM 1M 37K –
BERKSHIRE HATHAWAY INC DEL CL A CL A 612K 1 –
BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 3M 8K –
BOEING CO COM COM 907K 5K –
BRISTOL-MYERS SQUIBB CO COM COM 238K 6K –
BROADCOM INC COM COM 252K 157 –
CALAMOS STRATEGIC TOTAL RETURN COM SH BEN INT SH BEN INT 321K 19K –
CENTENE CORP DEL COM COM 551K 8K –
CHEVRON CORP NEW COM COM 789K 5K –
CHURCH & DWIGHT CO INC COM COM 345K 3K –
CISCO SYS INC COM COM 560K 12K –
COCA COLA CO COM COM 635K 10K –
COMCAST CORP NEW CL A CL A 280K 7K –
COSTCO WHSL CORP NEW COM COM 1M 1K –
DANAHER CORPORATION COM COM 318K 1K –
DEERE & CO COM COM 251K 672 –
DIMENSIONAL EMERGING MARKETS CORE EQUITY 2 ETF EMERGING MKTS CO 25M 924K –
DIMENSIONAL GLOBAL REAL ESTATE ETF GLOBAL REAL EST 14M 577K –
DIMENSIONAL INTERNATIONAL CORE EQUITY 2 ETF INTL CORE EQUITY 14M 548K –
DIMENSIONAL INTERNATIONAL VALUE ETF INTERNATNAL VAL 232K 6K –
DIMENSIONAL U.S. CORE EQUITY 2 ETF US CORE EQUITY 2 960K 30K –
DIMENSIONAL U.S. EQUITY ETF US EQUITY ETF 907K 15K –
DIMENSIONAL U.S. SMALL CAP ETF US SMALL CAP ETF 341K 6K –
DIMENSIONAL U.S. TARGETED VALUE ETF US TARGETED VLU 20M 387K –
DIMENSIONAL US CORE EQUITY MARKET ETF US CORE EQT MKT 643K 17K –
DIMENSIONAL US LARGE CAP VALUE ETF US LARGE CAP VAL 68M 2M –
DIMENSIONAL US MARKETWIDE VALUE ETF US MKTWIDE VALUE 14M 345K –
DIMENSIONAL US SMALL CAP VALUE ETF US SMALL CAP VAL 22M 777K –
DIMENSIONAL WORLD EQUITY ETF WORLD EQUITY ETF 751K 13K –
DISNEY WALT CO COM COM 372K 4K –
DUKE ENERGY CORP NEW COM NEW COM NEW 296K 3K –
ELI LILLY & CO COM COM 2M 2K –
EMERSON ELEC CO COM COM 2M 17K –
ENERGY TRANSFER L P COM UT LTD PTN COM UT LTD PTN 357K 22K –
ENTERPRISE FINL SVCS CORP COM COM 969K 24K –
ENTERPRISE PRODS PARTNERS L P COM COM 1M 36K –
EXXON MOBIL CORP COM COM 551K 5K –
FLAHERTY & CRUMRINE PFD INCOME COM COM 100K 12K –
FREEPORT-MCMORAN INC CL B CL B NEW 2M 34K –
FUTUREFUEL CORP COM COM 54K 11K –
GENERAL DYNAMICS CORP COM COM 395K 1K –
GOLDMAN SACHS GROUP INC COM COM 200K 442 –
GUGGENHEIM STRATEGIC OPPORTUN COM SBI COM SBI 3M 198K –
HANCOCK JOHN PREM DIVID FD COM SH BEN INT SH BEN IT 191K 16K –
HEWLETT PACKARD ENTERPRISE CO COM COM 1M 50K –
HOME DEPOT INC COM COM 608K 2K –
HP INC COM COM 1M 30K –
INTEL CORP COM COM 306K 10K –
INTERNATIONAL BUSINESS MACHS COM COM 261K 2K –
INVESCO BLOOMBERG MVP MULTI-FACTOR ETF DYNMC MKT ETF 260K 6K –
INVESCO QQQ TRUST SERIES I UNIT SER 1 664K 1K –
INVESCO S&P 500 EQUAL WEIGHT ETF S&P500 EQL WGT 901K 5K –
INVESCO S&P MIDCAP QUALITY ETF S&P MDCP QUALITY 276K 3K –
ISHARES CORE HIGH DIVIDEND ETF CORE HIGH DV ETF 965K 9K –
ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE 487K 7K –
ISHARES CORE MSCI EMERGING MARKETS ETF CORE MSCI EMKT 1M 20K –
ISHARES CORE S&P 500 ETF CORE S&P500 ETF 1M 3K –
ISHARES CORE S&P SMALL CAP ETF CORE S&P SCP ETF 221K 2K –
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF CORE S&P TTL STK 1M 9K –
ISHARES CORE U.S. AGGREGATE BOND ETF CORE US AGGBD ET 406K 4K –
ISHARES GOLD TRUST ISHARES NEW 495K 11K –
ISHARES MSCI EAFE ETF MSCI EAFE ETF 3M 44K –
ISHARES MSCI EAFE MIN VOL FACTOR ETF MSCI EAFE MIN VL 734K 11K –
ISHARES MSCI EMERGING MARKETS MIN VOL FACTOR ETF MSCI EMERG MRKT 330K 6K –
ISHARES MSCI USA MIN VOL FACTOR ETF MSCI USA MIN VOL 2M 26K –
ISHARES MSCI USA MOMENTUM FACTOR ETF MSCI USA MMENTM 639K 3K –
ISHARES MSCI USA QUALITY FACTOR ETF MSCI USA QLT FCT 1M 7K –
ISHARES MSCI USA SMALL-CAP MIN VOL FACTOR ETF MSCI USA SMCP MN 604K 16K –
ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 4M 10K –
ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 3M 15K –
ISHARES RUSSELL 2000 GROWTH ETF RUS 2000 GRW ETF 303K 1K –
ISHARES RUSSELL 2000 VALUE ETF RUS 2000 VAL ETF 428K 3K –
ISHARES RUSSELL MID-CAP GROWTH ETF RUS MD CP GR ETF 494K 4K –
ISHARES RUSSELL MID-CAP VALUE ETF RUS MDCP VAL ETF 618K 5K –
ISHARES S&P MID-CAP 400 GROWTH ETF S&P MC 400GR ETF 445K 5K –
ISHARES SELECT DIVIDEND ETF SELECT DIVID ETF 2M 17K –
ISHARES TIPS BOND ETF TIPS BD ETF 240K 2K –
JOHNSON & JOHNSON COM COM 1M 8K –
JPMORGAN CHASE & CO. COM COM 1M 7K –
KAYNE ANDERSON ENERGY INFRSTR COM COM 282K 27K –
LOCKHEED MARTIN CORP COM COM 422K 904 –
LOWES COS INC COM COM 820K 4K –
MASTERCARD INCORPORATED CL A CL A 947K 2K –
MCDONALDS CORP COM COM 1M 5K –
MERCK & CO INC COM COM 421K 3K –
META PLATFORMS INC CL A CL A 705K 1K –
MFS INTER HIGH INCOME FD SH BEN INT SH BEN INT 271K 160K –
MFS MULTIMARKET INCOME TR SH BEN INT SH BEN INT 745K 159K –
MICRON TECHNOLOGY INC COM COM 2M 12K –
MICROSOFT CORP COM COM 6M 13K –
MONDELEZ INTL INC CL A CL A 287K 4K –
MORGAN STANLEY COM NEW COM NEW 448K 5K –
MPLX LP COM UNIT REP LTD COM UNIT REP LTD 268K 6K –
NETFLIX INC COM COM 481K 712 –
NEUBERGER BERMAN ENERGY INFRA COM COM 155K 19K –
NEXTERA ENERGY INC COM COM 1M 19K –
NIKE INC CL B CL B 3M 38K –
NORTHROP GRUMMAN CORP COM COM 249K 571 –
NOVO-NORDISK A S ADR SPONSORED ADR 276K 2K –
NUVEEN PFD & INCOME OPPORTUNIT COM COM 437K 58K –
NVIDIA CORPORATION COM COM 3M 28K –
ONEOK INC NEW COM COM 1M 13K –
ORACLE CORP COM COM 337K 2K –
PACER US SMALL CAP CASH COWS 100 ETF PACER US SMALL 248K 6K –
PEPSICO INC COM COM 2M 9K –
PERFORMANCE FOOD GROUP CO COM COM 246K 4K –
PERIMETER SOLUTIONS SA COMMON STOCK COMMON STOCK 191K 24K –
PFIZER INC COM COM 706K 25K –
PHILLIPS 66 COM COM 471K 3K –
PROCTER AND GAMBLE CO COM COM 1M 9K –
REALTY INCOME CORP COM COM 706K 13K –
REINSURANCE GRP OF AMERICA INC COM NEW COM NEW 4M 22K –
RTX CORPORATION COM COM 268K 3K –
SALESFORCE INC COM COM 282K 1K –
SAREPTA THERAPEUTICS INC COM COM 469K 3K –
SCHWAB INTERNATIONAL EQUITY ETF INTL EQTY ETF 330K 9K –
SCHWAB U.S. LARGE-CAP ETF US LRG CAP ETF 3M 44K –
SCHWAB U.S. LARGE-CAP GROWTH ETF US LCAP GR ETF 223K 2K –
SOUTHERN CO COM COM 497K 6K –
SPDR GOLD SHARES GOLD SHS 350K 2K –
SPDR PORTFOLIO S&P 500 GROWTH ETF PRTFLO S&P500 GW 784K 10K –
SPDR S&P 400 MID CAP GROWTH ETF S&P 400 MDCP GRW 282K 3K –
SPDR S&P 500 ETF TRUST TR UNIT 4M 8K –
SPDR S&P 600 SMALL CAP GROWTH ETF S&P 600 SMCP GRW 984K 11K –
SPIRE INC COM COM 255K 4K –
STIFEL FINL CORP COM COM 1M 16K –
TARGA RES CORP COM COM 375K 3K –
TESLA INC COM COM 883K 4K –
TEXAS INSTRS INC COM COM 234K 1K –
TRANE TECHNOLOGIES PLC SHS SHS 286K 869 –
UNION PAC CORP COM COM 673K 3K –
UNITEDHEALTH GROUP INC COM COM 935K 2K –
US BANCORP DEL COM NEW COM NEW 758K 19K –
VANECK FALLEN ANGEL HIGH YIELD BOND ETF FALLEN ANGEL HG 4M 144K –
VANGUARD DIVIDEND APPRECIATION ETF DIV APP ETF 903K 5K –
VANGUARD EXTENDED MARKET ETF EXTEND MKT ETF 202K 1K –
VANGUARD FTSE ALL-WORLD EX-US INDEX FUND ALLWRLD EX US 233K 4K –
VANGUARD FTSE DEVELOPED MARKETS ETF FTSE DEV MKT ETF 15M 294K –
VANGUARD FTSE EMERGING MARKETS ETF FTSE EMR MKT ETF 5M 123K –
VANGUARD GROWTH ETF GROWTH ETF 102M 274K –
VANGUARD HIGH DIVIDEND YIELD INDEX ETF HIGH DIV YLD 1M 12K –
VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF INT-TERM CORP 2M 24K –
VANGUARD LARGE-CAP ETF LARGE CAP ETF 1M 5K –
VANGUARD MEGA CAP ETF MEGA CAP INDEX 578K 3K –
VANGUARD MID-CAP ETF MID CAP ETF 2M 8K –
VANGUARD MID-CAP GROWTH ETF MCAP GR IDXVIP 4M 19K –
VANGUARD MID-CAP VALUE ETF MCAP VL IDXVIP 6M 38K –
VANGUARD REAL ESTATE ETF REAL ESTATE ETF 2M 22K –
VANGUARD RUSSELL 2000 ETF VNG RUS2000IDX 584K 7K –
VANGUARD S&P 500 ETF S&P 500 ETF SHS 3M 5K –
VANGUARD S&P 500 GROWTH ETF 500 GRTH IDX F 5M 14K –
VANGUARD S&P 500 VALUE ETF 500 VAL IDX FD 2M 9K –
VANGUARD S&P MID-CAP 400 GROWTH ETF MIDCP 400 GRTH 242K 2K –
VANGUARD S&P MID-CAP 400 VALUE ETF MIDCP 400 VAL 438K 5K –
VANGUARD S&P SMALL-CAP 600 GROWTH ETF SMLCP 600 GRTH 1M 10K –
VANGUARD S&P SMALL-CAP 600 VALUE ETF SMLCP 600 VAL 278K 3K –
VANGUARD SHORT-TERM BOND ETF SHORT TRM BOND 2M 21K –
VANGUARD SHORT-TERM TREASURY ETF SHORT TERM TREAS 2M 26K –
VANGUARD SMALL CAP VALUE ETF SM CP VAL ETF 6M 31K –
VANGUARD SMALL-CAP ETF SMALL CP ETF 1M 5K –
VANGUARD SMALL-CAP GROWTH ETF SML CP GRW ETF 25M 102K –
VANGUARD TOTAL BOND MARKET ETF TOTAL BND MRKT 13M 177K –
VANGUARD TOTAL INTERNATIONAL STOCK ETF VG TL INTL STK F 574K 10K –
VANGUARD TOTAL STOCK MARKET ETF TOTAL STK MKT 2M 6K –
VANGUARD TOTAL WORLD STOCK ETF TT WRLD ST ETF 490K 4K –
VANGUARD U.S. VALUE FACTOR ETF US VALUE FACTR 244K 2K –
VANGUARD VALUE ETF VALUE ETF 26M 163K –
VISA INC COM CL A COM CL A 392K 1K –
WALMART INC COM COM 2M 24K –
WASTE MGMT INC DEL COM COM 703K 3K –
WELLS FARGO CO NEW COM COM 320K 5K –
WELLTOWER INC COM COM 264K 3K –
WESTERN ASSET MANAGED MUNS FD COM COM 485K 47K –
WILLIAMS COS INC COM COM 297K 7K –
XCEL ENERGY INC COM COM 560K 10K –
XTRACKERS MSCI EAFE HEDGED EQUITY ETF XTRACK MSCI EAFE 59M 1M –