{"url":"https://nivawealth.com/firms/investors-mosaic-168619","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168619","regulatoryAum":192063361,"crd":"168619","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6233081","suffix":null,"lastName":"MCCORMICK","firstName":"EVAN","middleName":"ALEXANDER"},{"crd":"7142769","suffix":null,"lastName":"PANKO","firstName":"TRINITY","middleName":"ROSE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-05-01","regulatoryAum":119500935,"clients":27,"employees":2,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":148402354,"clients":33,"employees":2,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":192063361,"clients":33,"employees":2,"offices":2}],"secFileNumber":"801-130393","legalName":"Investors Mosaic, LLC","displayName":"Investors Mosaic","slug":"investors-mosaic-168619","website":"https://investorsmosaic.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"31 May 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":5618935.151515151,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":192063361,"discretionary":192063361,"discretionaryAccounts":164,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":7,"regulatoryAum":2489310},{"label":"High-net-worth individuals","clients":26,"regulatoryAum":182935550},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":5853032},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":785469}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:46:32.953207+00:00","documents":[{"name":"INVESTORS MOSAIC BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030931","versionId":1030931,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":118909865},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":73153496}],"custodyNote":"Investors Mosaic has custody of $24M in client assets for 10 clients.","otherCustodians":[],"leadership":[{"name":"Evan McCormick","title":"President, CEO and CCO","crd":"6233081"}],"ownership":[{"label":"Evan McCormick","detail":"President, ceo and cco in the 75% or more ownership band and a control person, since July 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-272-0006","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":60},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":36},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Alternative Investments (Oil & Gas LLC Units)"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/168619/PDF/168619.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030931","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Investors Mosaic have?","answer":"Investors Mosaic has 33 clients and manages $192 million for them, as of March 2026. They include 26 high-net-worth individuals and 7 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Investors Mosaic offer?","answer":"Investors Mosaic provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Investors Mosaic use?","answer":"Investors Mosaic’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $119M and Fidelity Brokerage Services LLC (Boston, MA), with $73.2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Investors Mosaic have?","answer":"Investors Mosaic has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Investors Mosaic invest in?","answer":"At the end of its last fiscal year, Investors Mosaic’s separately managed accounts held 60% exchange-traded equities, 36% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% pooled vehicles (private funds and similar), 1% cash and equivalents and 1% other. The 1% other category is described as: Alternative Investments (Oil & Gas LLC Units).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Investors Mosaic?","answer":"Investors Mosaic’s direct owner is Evan McCormick (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Investors Mosaic get paid?","answer":"Investors Mosaic is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Investors Mosaic?","answer":"Its phone number is 617-272-0006. Its website is investorsmosaic.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}