The Mosaic Financial Group, Llc
- Regulatory AUM
- $949M
- Discretionary
- $305M
- Clients
- 133
- Avg AUM / client
- $7.1M
- Accounts
- 596
- Employees
- 27
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 130 | $934M | 98.4% |
| Charitable organizations | 2 | $9.1M | 0.96% |
| Corporations and other businesses | 1 | $6.1M | 0.64% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jane Ellen Marie Wolak | Partner | CFP | Oct 2000 (26y) | Less than 5% |
| Timothy John Debruyne | Partner, Chief Compliance Officer | Jun 2004 (22y) | 25% – 50% | |
| Derrick J. Allen | Partner | Jan 2018 (9y) | 25% – 50% | |
| Ryan Thomas Shaughnessy | Registered representative | Dec 2010 (16y) | ||
| Brewster Wade Lindblad | Registered representative | Jun 2013 (13y) | ||
| Joseph G. Hetland | Registered representative | Jul 2014 (12y) | ||
| Frank Bradley Miller | Registered representative | Jul 2023 (3y) | ||
| Collin James Wegener | Registered representative | Jul 2023 (3y) | ||
| Alberto Liz | Registered representative | Feb 2024 (2y) |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 973 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $698M (74% of AUM) Mar 2026
- Pershing $98.9M (10% of AUM) Aug 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗