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THE MOSAIC FINANCIAL GROUP, LLC
CRD 109816File 801-58120
APPROVED
Retail clients
Custody
Filing as of Sep 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$948.7M
Above cohort median (national)
Discretionary AUM
$305.2M
Non-discretionary $643.5M
Clients
133
596 accounts
Employees
27
Above cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Nov 17, 2000
- Principal office
- 225 W. RANDOLPH STREET, SUITE 2425, CHICAGO, IL, 60606
- Phone
- 312-255-5490
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $948.7M
- Discretionary AUM
- $305.2M
- Non-discretionary AUM
- $643.5M
- Discretionary accounts
- 157
- Non-discretionary accounts
- 439
- Total accounts
- 596
- AUM per client
- $7.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $6.1M |
| Charitable organizations | Fewer than 5 | $9.1M |
| High net worth individuals | 130 | $933.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 24 | 27 | increased by3 |
| Apr 1, 2026 | Clients | 127 | 133 | increased by6 |
| Apr 1, 2026 | AUM | $898,494,961 | $948,721,875 | increased by$50,226,914 |
| Apr 1, 2026 | Accounts | 569 | 596 | increased by27 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 22 | 24 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 124 | 127 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,108,726,480 | $898,494,961 | decreased by$210,231,519 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 585 | 569 | decreased by16 |
| Apr 1, 2022 | Employees | 21 | 22 | increased by1 |
| Apr 1, 2022 | Clients | 120 | 124 | increased by4 |
| Apr 1, 2022 | AUM | $983,128,052 | $1,108,726,480 | increased by$125,598,428 |
| Apr 1, 2022 | Accounts | 563 | 585 | increased by22 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MOSAIC FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MOSAIC FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.