MOSAIC ADVISORS
MOSAIC ADVISORS LLC Legal Name
Adviser information for MOSAIC ADVISORS last updated from Form ADV on March 29th, 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 | Texas, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 147 | $323.0M |
| Non-Discretionary | 3 | $2.6M |
| Total | 150 | $325.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $2.7M |
| HNW Individuals | 40 | $298.9M |
| 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 | $24.0M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 15 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
3773 RICHMOND AVENUESUITE 700
HOUSTON
TX
United States
Monday - Friday, 8 A.M. - 5 P.M.
Tel: 713-980-4100, Fax: 713-574-3151
Chief Compliance Officer
CAREY STUART KESNER
PARTNER/CHIEF COMPLIANCE OFFICER
3773 RICHMOND AVENUE
SUITE 700
HOUSTON
TX
United States
Tel:
713-980-4100
C****@*****************M
(Full email address available in API data)
Industry Affiliates
| MOSAIC INSURANCE AGENCY LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOSAIC WEALTH PARTNERS, LLC | Domestic Entity | – | MANAGING MEMBER | 06/2012 | > 75% |
| HENRY, BRANDON, ROSS | Individual | APERTURE HOLDINGS | PARTNER | 06/2012 | > 75% |
| KESNER, CAREY, STUART | Individual | MOSAIC WEALTH PARTNERS, LLC | PARTNER | 06/2012 | 25-50% |
| HENRY, BRANDON, ROSS | Individual | – | PARTNER | 06/2012 | < 5% |
| KESNER, CAREY, STUART | Individual | – | PARTNER AND CHIEF COMPLIANCE OFFICER | 06/2012 | < 5% |
| APERTURE HOLDINGS | Domestic Entity | MOSAIC WEALTH PARTNERS, LLC | OWNER | 01/2021 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| Amazon.Com Inc | Common Stock | 261K | 1K | – |
| Apple Inc | Common Stock | 4M | 19K | – |
| iShares Core US Aggregate Bond ETF | Funds | 3M | 26K | – |
| iShares National Muni Bond ETF | Funds | 34M | 322K | – |
| JPMorgan Ultra Short Income ETF | Funds | 313K | 6K | – |
| Meta Platforms Inc Class A | Common Stock | 205K | 406 | – |
| Microsoft | Common Stock | 1M | 2K | – |
| Nvidia Corp | Common Stock | 933K | 8K | – |
| Sherwin Williams Co | Common Stock | 2M | 8K | – |
| Vanguard Dividend Appreciation ETF | Funds | 38M | 210K | – |
| Vanguard FTSE Emerging Mark ETF IV | Funds | 2M | 41K | – |
| Vanguard Intrmdiat TRM TRSRY ETF | Funds | 7M | 115K | – |
| Vanguard Muni BND Tax Exempt ETF | Funds | 3M | 66K | – |
| Vanguard Small Cap ETF IV | Funds | 3M | 13K | – |
| Vanguard Total International STK ETF | Funds | 25M | 416K | – |