Wealth manager, independent · St. Louis, MO
Mosaic Wealth
Mosaic Family Wealth Partners, LLC · SEC-registered investment adviser · CRD 317377 · SEC 801-122745
At a glance
Mosaic Wealth is an SEC-registered investment adviser based in St. Louis, Missouri, with $2.0B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 774 individual clients, 321 of them high-net-worth, holding an average of about $2.5 million each, and 22 employees. That ranks it 543rd among the nation’s 5,657 independent wealth management RIAs and 14th of 92 in Missouri. It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab.
Main office 314-627-5220mosaicwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.0B
- Rank among independent wealth managers
- #543 of 5,657
- Rank among all SEC RIAs
- #3,585 of 17,210
- Rank in Missouri
- #14 of 92
- Individual clients
- 774
- High-net-worth clients
- 321
- Accounts
- 4,827
- Discretionary
- 75% of AUM
- Employees
- 22
- Advisory staff
- 19
- Offices
- 2
Owners and executives on its Form ADV
- Larry K. ShiklesSenior Wealth Advisor, Principal
- Duncan S. HighmarkPresident and Chief Compliance Officer
- Michelle K. BrownPrincipal & SR. Wealth Advisor
- Steven G. RotelloPrincipal, Managing Director - Denver
- Tyler CampoPrincipal, Chief Growth Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Mosaic Wealth is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
er-Dealer or Representative Registration Certain members and registered advisory personnel of Mosaic Wealth are registered representatives of Purshe Kaplan Sterling Investments (“PKS”), a FINRA-registered broker- dealer and member of SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 321 | $1.7B | 84% |
| Individuals | 453 | $173M | 8% |
| Pension and profit sharing plans | 13 | $72M | 4% |
| Corporations or other businesses | 9 | $49M | 2% |
| Charitable organizations | 11 | $24M | 1% |
Disciplinary disclosures
Mosaic Wealth reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗mosaicwealth.com ↗
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Missouri
All of Missouri →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Visionary Wealth Advisors, LLCSt. Louis | $3.5B | 4,186 |
| Argos Capital Partners, LLCSt. Louis | $2.6B | 60 |
| Acropolis Investment ManagementChesterfield | $2.6B | 1,037 |
| Atwood & Palmer, Inc.Kansas City | $2.0B | 511 |
| Parkwoods Wealth Partners, LLCClayton | $1.8B | 1,373 |
| Alpine Private WealthSaint Louis | $1.5B | 265 |
Background
Questions
How much does Mosaic Wealth manage?
Mosaic Wealth reports $2.0B in regulatory assets under management across 4,827 accounts, 75% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does Mosaic Wealth have?
It reports 774 individual clients: 321 high-net-worth individuals and 453 other individuals. Individuals account for about 93% of its regulatory assets.
Where is Mosaic Wealth headquartered?
Its main office is in St. Louis, Missouri. It reports 2 offices in total and 22 employees, 19 of whom perform investment advisory functions.
How does Mosaic Wealth charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; commissions; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Mosaic Wealth use?
It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: Fidelity ($415M); Charles Schwab ($59M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Mosaic Wealth a hybrid RIA with a broker-dealer?
Mosaic Wealth is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Mosaic Wealth a fiduciary?
As an SEC-registered investment adviser, Mosaic Wealth owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 2 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Mosaic Wealth’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →