{ "crd_number": 291088, "slug": "mosher-financial-advisors-llc-lafayette-ca-291088", "primary_business_name": "MOSHER FINANCIAL ADVISORS LLC", "legal_name": "MOSHER FINANCIAL ADVISORS LLC", "dbas": [], "city": "Lafayette", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2018-02-06", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 9, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": null, "count": 145 }, "pension_profit_sharing": { "raum": null, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": null, "count": 145 } }, "compensation_types": [ "fixed", "hourly" ], "advisory_activities": [ "financial_planning", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "CA" ], "websites": [ "https://mosheradvisors.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/291088", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(3)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" }, { "item": "11.H(1)(c)", "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?" } ], "city_as_filed": "LAFAYETTE", "url": "https://advisorcensus.com/firm/mosher-financial-advisors-llc-lafayette-ca-291088", "display_name": "Mosher Financial Advisors LLC", "summary": "Mosher Financial Advisors LLC is a state-registered investment advisory firm in Lafayette, CA, registered since 2018, with no regulatory assets under management reported in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Mosher Financial Advisors LLC (CRD 291088): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Mosher Financial Advisors LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Mosher Financial Advisors LLC reports these compensation arrangements: hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Mosher Financial Advisors LLC located?", "a": "Mosher Financial Advisors LLC's principal office is in Lafayette, CA, according to its Form ADV." }, { "q": "Is Mosher Financial Advisors LLC registered with the SEC or a state?", "a": "Mosher Financial Advisors LLC is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 291088." }, { "q": "What types of clients does Mosher Financial Advisors LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (145); high net worth individuals (145)." }, { "q": "Does Mosher Financial Advisors LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation), 11.E(3) (self-regulatory organization's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction), and 11.H(1)(c) (regulator's civil action dismissed under a settlement). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/291088" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/mosher-financial-advisors-llc-lafayette-ca-291088.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 145, "fewer_than_5": false, "raum": null }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 145, "fewer_than_5": false, "raum": null }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": null } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/291088", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }