# Mosher Financial Advisors LLC

> 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.

- CRD: 291088
- Filed as: MOSHER FINANCIAL ADVISORS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Lafayette, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/291088
- AdvisorCensus page: https://advisorcensus.com/firm/mosher-financial-advisors-llc-lafayette-ca-291088

## Quick answers

**How is Mosher Financial Advisors LLC compensated?**
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.

**Where is Mosher Financial Advisors LLC located?**
Mosher Financial Advisors LLC's principal office is in Lafayette, CA, according to its Form ADV.

**Is Mosher Financial Advisors LLC registered with the SEC or a state?**
Mosher Financial Advisors LLC is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 291088.

**What types of clients does Mosher Financial Advisors LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (145); high net worth individuals (145).

**Does Mosher Financial Advisors LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 145 | Not reported |
| High net worth individuals | 145 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2018 (8 years)
- Employees: 9 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?
- 11.E(3): 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?
- 11.E(4): 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?
- 11.H(1)(c): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/291088

### Websites listed on Form ADV (Item 1.I)
- mosheradvisors.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Mosher Financial Advisors LLC (CRD 291088): Form ADV filing data as of October 2026.