# The Mosaic Financial Group, LLC

> The Mosaic Financial Group, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2000, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.

- CRD: 109816
- Filed as: THE MOSAIC FINANCIAL GROUP, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: September 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109816
- AdvisorCensus page: https://advisorcensus.com/firm/the-mosaic-financial-group-llc-chicago-il-109816

## Quick answers

**How is The Mosaic Financial Group, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), The Mosaic Financial Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does The Mosaic Financial Group, LLC charge?**
Its Form ADV Part 2A brochure dated March 25, 2026 states: Flat fee: $1,250 to $10,000 (Financial Planning Fee); Flat fee: $1,000 to $50,000 (Consulting Services Fees); Hourly rate: $150 to $450 an hour (Consulting Services Fees). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is The Mosaic Financial Group, LLC located?**
The Mosaic Financial Group, LLC's principal office is in Chicago, IL, according to its Form ADV.

**Is The Mosaic Financial Group, LLC registered with the SEC or a state?**
The Mosaic Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 109816.

**How much does The Mosaic Financial Group, LLC manage?**
The Mosaic Financial Group, LLC reports $948,721,875 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (32% discretionary).

**How have The Mosaic Financial Group, LLC's assets and staff changed since 2021?**
In the Form ADV data for The Mosaic Financial Group, LLC: Regulatory assets under management: $983,128,052 in the October 2021 data and $948,721,875 in the October 2026 data, down 3%. Total employees: 21 in October 2021 and 27 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does The Mosaic Financial Group, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (130); charitable organizations (2); corporations or other businesses not listed above (1).

**Which custodians does The Mosaic Financial Group, LLC use?**
The Mosaic Financial Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does The Mosaic Financial Group, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109816

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Flat fee: $1,250 to $10,000 (Financial Planning Fee)

> We charge a fixed one-time fee typically ranging from $1,250-$10,000 depending on the scope and complexity of the client’s circumstances.

- Flat fee: $1,000 to $50,000 (Consulting Services Fees)

> As a fixed fee, typically ranging from $1,000 - $50,000. Half of this fee may be due upon signing the consulting agreement, with the balance due upon presentation of the project.

- Hourly rate: $150 to $450 an hour (Consulting Services Fees)

> On an hourly basis of $150-$450 per hour depending on the nature of the service and the personnel involved. Hourly fees shall be due and billable as invoiced.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $948,721,875
- Discretionary: $305,216,875
- Non-discretionary: $643,505,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 130 | $933,590,219 |
| Charitable organizations | 2 | $9,060,651 |
| Corporations or other businesses not listed above | 1 | $6,071,005 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2000 (25 years)
- Employees: 27 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- themosaicgroupllc.com
- LinkedIn @themosaicfinancialgroup

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $983,128,052 | 21 | April 20, 2021 |
| October 2022 | $1,108,726,480 | 22 | March 17, 2022 |
| October 2023 | $950,020,326 | 22 | March 30, 2023 |
| October 2024 | $945,033,715 | 23 | March 20, 2024 |
| October 2025 | $898,494,961 | 24 | March 20, 2025 |
| October 2026 | $948,721,875 | 27 | September 17, 2026 |

Regulatory assets under management: $983,128,052 in the October 2021 data and $948,721,875 in the October 2026 data, down 3%.
Total employees: 21 in October 2021 and 27 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. The Mosaic Financial Group, LLC (CRD 109816): Form ADV filing data as of October 2026.