Chicago, IL W. Randolph Street Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
The Mosaic Financial Group, LLC
Team
Firm-wide stats for The Mosaic Financial Group, LLC
Clients per advisor
14 Very LowAvg AUM per client
$7,181,463 Very HighHNW client ratio
100% Very HighAbout
The Mosaic Financial Group serves primarily high‑net‑worth individuals and a range of institutional clients including trusts, estates, charitable organizations, pension and profit‑sharing plans, partnerships and corporations, typically requiring $2 million of investable assets for advisory services and $5 million for portfolio reporting. The firm provides investment advisory (both discretionary and non‑discretionary), portfolio monitoring, estate and financial planning, tax preparation, bookkeeping and consulting.
Mosaic emphasizes asset allocation as the primary driver of returns and builds individualized portfolios using separately managed accounts, mutual funds, ETFs and alternative investments, applying both strategic and tactical allocation with periodic rebalancing. Unusually for a team firm, most of its $948.7 million in AUM—approximately $643.5 million—is managed on a non‑discretionary basis, meaning clients retain approval for the majority of investment decisions.
What distinguishes the firm from many peers is its integration of tax and accounting services into the advisory offering: a tax‑focused partner and staff with CPA experience provide tax preparation, gift and estate tax return services and bookkeeping in addition to investment advice. With nine advisors serving roughly 130 client relationships, Mosaic’s client base is relatively concentrated, reflecting higher‑value accounts and a blended wealth‑management and accounting practice.
Based on The Mosaic Financial Group, LLC
Expertise
Based on The Mosaic Financial Group, LLC
Location
225 W. Randolph Street, Suite 2425
Chicago IL 60606
Advisors at this office
4
Advisors at this office
Collin W
Series 65
Chicago, IL
The Mosaic Financial Group, LLC
Collin Wegener is a financial advisor at The Mosaic Financial Group, LLC in Chicago, holding a Series 65 designation with two years of industry experience. He has been with The Mosaic Financial Group since 2018 following five years as a student. The Mosaic Financial Group serves primarily high-net-worth individuals, trusts, estates, charitable organizations, and various types of plans and entities, managing approximately $898 million in assets across about 125 client relationships. The firm integrates investment advisory with accounting and tax services, offering both discretionary and non-discretionary portfolio management with a focus on asset allocation and individualized portfolio construction.
Frank M
Series 65
Chicago, IL
The Mosaic Financial Group, LLC
Frank Miller is a financial advisor at The Mosaic Financial Group, LLC in Chicago, holding a Series 65 designation with two years of industry experience. Prior to joining The Mosaic Financial Group in 2020, he worked at Rink Management Services Corp. and was involved with Anita Dee Yacht Charters. The Mosaic Financial Group serves primarily high-net-worth individuals, trusts, estates, charitable organizations, and various institutional clients, managing approximately $898 million in assets. The firm emphasizes asset allocation and integrates accounting and tax services, providing tailored investment advisory and financial planning solutions.
Derrick A
Series 65
Chicago, IL
The Mosaic Financial Group, LLC
Derrick Allen is a financial advisor at The Mosaic Financial Group, LLC in Chicago, IL, holding a Series 65 designation with four years of industry experience. He has been with The Mosaic Financial Group since 2003. The Mosaic Financial Group primarily serves high-net-worth individuals, trusts, estates, charitable organizations, and various business entities, managing approximately $898 million in assets. The firm emphasizes asset allocation and integrates accounting and tax services into its advisory platform, offering customized portfolio construction and both discretionary and non-discretionary advisory relationships.
Alberto L
Series 65, Series 66
Chicago, IL
The Mosaic Financial Group, LLC
Alberto Liz is a financial advisor at The Mosaic Financial Group, LLC in Chicago, IL. He holds Series 65 and Series 66 credentials and has 10 years of industry experience. His prior roles include positions at Goldman, Sachs & Co. LLC and Single Family Office. The Mosaic Financial Group primarily serves high-net-worth individuals and institutional clients, offering investment advisory, estate and financial planning, tax preparation, bookkeeping, and consulting services. The firm focuses on asset allocation through customized portfolios and integrates tax and accounting services within its wealth management approach.
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