THE MOSAIC FINANCIAL GROUP, LLC

Advisory Business

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

Employees

Total Number of Employees	23
Investment Advisory/Research	9
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	9
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	160	$413.5M
Non-Discretionary	429	$531.5M
Total	589	$945.0M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	128	$796.6M
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	0	$0
Charitable organizations	<5	$141.3M
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	<5	$7.2M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)TAX PREPARATION
Compensation	% of AUMHourly chargesFixed fees
Other Business Activities	Accountant or accounting firm

Identifiers

SEC RIA File Number	801-58120
SEC ERA File Number	801-58120
SEC CIK Numbers	2011050
SEC CRD Numbers	109816
Legal Entity Identifier	None

Principal Office

303 E. WACKER DRIVE
SUITE 1675
CHICAGO
IL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic