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MOSAIC CAPITAL INC.

GEORGE TOWN, GRAND CAYMAN, Cayman Islands · CRD 336051 · IAPD ↗ · msc.xyz · 345 546-2622

$75.0MRegulatory AUM
4Advisory reps
4Employees
0Clients
n/aPlanning clients
1Private funds
0States
0Disclosures
foreignSegment
ApprovedSEC status

Filing changes

30
October 2026 — MOSAIC CAPITAL INC. (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) left the SEC roster (was $75.0M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
35
April 2026 — MOSAIC CAPITAL INC. now reports custody of client assets ($150.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
40
April 2026 — MOSAIC CAPITAL INC. now reports 2 private fund(s) ($75.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
65
December 2025 — MOSAIC CAPITAL INC. (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) is newly SEC-registered with $0 RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.