CHIEF COMPLIANCE OFFICER

0001674343-20-000005.txt : 20201019 0001674343-20-000005.hdr.sgml : 20201019 20201019152751 ACCESSION NUMBER: 0001674343-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201019 DATE AS OF CHANGE: 20201019 EFFECTIVENESS DATE: 20201019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mosaic Family Wealth, LLC CENTRAL INDEX KEY: 0001674343 IRS NUMBER: 473192561 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17441 FILM NUMBER: 201246130 BUSINESS ADDRESS: STREET 1: 1401 SOUTH BRENTWOOD BOULEVARD STREET 2: SUITE 630 CITY: ST. LOUIS STATE: MO ZIP: 63144 BUSINESS PHONE: 314-627-5220 MAIL ADDRESS: STREET 1: 1401 SOUTH BRENTWOOD BOULEVARD STREET 2: SUITE 630 CITY: ST. LOUIS STATE: MO ZIP: 63144 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001674343 XXXXXXXX 09-30-2020 09-30-2020 Mosaic Family Wealth, LLC

1401 SOUTH BRENTWOOD BOULEVARD SUITE 630 ST. LOUIS MO 63144

13F HOLDINGS REPORT 028-17441 N DUNCAN (SCOTT) HIGHMARK CHIEF COMPLIANCE OFFICER (314) 627-5220 DUNCAN (SCOTT) HIGHMARK ST LOUIS MO 10-19-2020 0 143 266745 false INFORMATION TABLE 2 13MFWQ32020.xml 3M CO COM Stock 88579Y101 384 2397 SH SOLE 295 0 2102 ABBOTT LABS COM Stock 002824100 606 5564 SH SOLE 0 0 5563 ABBVIE INC COM Stock 00287Y109 576 6579 SH SOLE 0 0 6578 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 287 1272 SH SOLE 475 0 797 ADAMAS PHARMACEUTICALS INC COM Stock 00548A106 381 92357 SH SOLE 0 0 92357 ALPHABET INC CAP STK CL A Stock 02079K305 434 296 SH SOLE 17 0 279 ALPHABET INC CAP STK CL C Stock 02079K107 839 571 SH SOLE 0 0 571 AMAZON COM INC COM Stock 023135106 2469 784 SH SOLE 172 0 612 AMEREN CORP COM Stock 023608102 627 7925 SH SOLE 171 0 7753 AMERICAN ELEC PWR CO INC COM Stock 025537101 295 3612 SH SOLE 0 0 3611 AMERICAN TOWER CORP NEW COM REIT 03027X100 293 1213 SH SOLE 41 0 1172 APPLE INC COM Stock 037833100 9101 78587 SH SOLE 2446 0 76141 AT&T INC COM Stock 00206R102 985 34534 SH SOLE 200 0 34333 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 229 1642 SH SOLE 0 0 1641 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 320 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 1500 7045 SH SOLE 350 0 6695 BOEING CO COM Stock 097023105 436 2638 SH SOLE 320 0 2317 BRISTOL-MYERS SQUIBB CO COM Stock 110122108 444 7372 SH SOLE 0 0 7372 CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT CEF 128125101 204 15127 SH SOLE 0 0 15126 CENTENE CORP DEL COM Put 15135B951 1458 25000 SH Put SOLE 0 0 25000 CENTENE CORP DEL COM Stock 15135B101 4712 80782 SH SOLE 0 0 80782 CHEVRON CORP NEW COM Stock 166764100 376 5227 SH SOLE 407 0 4820 CHURCH & DWIGHT INC COM Stock 171340102 311 3318 SH SOLE 0 0 3318 CISCO SYS INC COM Stock 17275R102 462 11728 SH SOLE 0 0 11727 COCA COLA CO COM Stock 191216100 344 6962 SH SOLE 0 0 6962 COLGATE PALMOLIVE CO COM Stock 194162103 271 3512 SH SOLE 521 0 2991 COMCAST CORP NEW CL A Stock 20030N101 309 6683 SH SOLE 362 0 6320 COSTCO WHSL CORP NEW COM Stock 22160K105 220 619 SH SOLE 80 0 539 CVS HEALTH CORP COM Stock 126650100 210 3589 SH SOLE 0 0 3588 DISNEY WALT CO COM DISNEY Stock 254687106 435 3506 SH SOLE 181 0 3324 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 230 2597 SH SOLE 0 0 2596 EMERSON ELEC CO COM Stock 291011104 1514 23085 SH SOLE 0 0 23085 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 262 48424 SH SOLE 0 0 48424 ENTERPRISE FINL SVCS CORP COM Stock 293712105 395 14500 SH SOLE 0 0 14500 ENTERPRISE PRODS PARTNERS L P COM Stock 293792107 741 46911 SH SOLE 0 0 46910 FACEBOOK INC CL A Stock 30303M102 454 1734 SH SOLE 107 0 1627 FIDELITY NATL INFORMATION SVCS COM Stock 31620M106 568 3856 SH SOLE 194 0 3662 FLAHERTY & CRUMRINE PFD INCOME COM CEF 33848E106 186 15644 SH SOLE 0 0 15643 GLOBAL CORD BLOOD CORPORATION SHS Stock G39342103 43 12275 SH SOLE 0 0 12275 GUGGENHEIM STRATEGIC OPPORTUN COM SBI CEF 40167F101 1729 98241 SH SOLE 8946 0 89294 HANCOCK JOHN PREM DIVID FD COM SH BEN INT CEF 41013T105 446 35795 SH SOLE 0 0 35794 HOME DEPOT INC COM Stock 437076102 453 1629 SH SOLE 397 0 1232 INTEL CORP COM Stock 458140100 555 10726 SH SOLE 862 0 9864 INVESCO QQQ TRUST ETF 46090E103 470 1691 SH SOLE 0 0 1691 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 295 2730 SH SOLE 0 0 2729 ISHARES COMEX GOLD TRUST ETF 464285105 404 22480 SH SOLE 3000 0 19480 ISHARES CORE HIGH DIVIDEND ETF ETF 46429B663 695 8635 SH SOLE 1524 0 7111 ISHARES CORE MSCI EAFE ETF ETF 46432F842 1075 17830 SH SOLE 3433 0 14397 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 210 3969 SH SOLE 1865 0 2104 ISHARES CORE S&P 500 ETF ETF 464287200 598 1780 SH SOLE 100 0 1680 ISHARES CORE U.S. AGGREGATE BOND ETF ETF 464287226 286 2423 SH SOLE 0 0 2423 iShares Edge MSCI USA Value Factor ETF ETF 46432F388 343 4644 SH SOLE 1184 0 3460 ISHARES MSCI EAFE ETF ETF 464287465 3231 50766 SH SOLE 852 0 49913 ISHARES MSCI EAFE GROWTH ETF ETF 464288885 201 2235 SH SOLE 570 0 1665 ISHARES MSCI EAFE MIN VOL FACTOR ETF ETF 46429B689 796 11682 SH SOLE 1918 0 9764 ISHARES MSCI EAFE SMALL-CAP ETF ETF 464288273 236 3998 SH SOLE 0 0 3998 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 255 5793 SH SOLE 0 0 5793 ISHARES MSCI EMERGING MARKETS MIN VOL FACTOR ETF ETF 464286533 389 7042 SH SOLE 1145 0 5897 ISHARES MSCI USA MIN VOL FACTOR ETF ETF 46429B697 2095 32875 SH SOLE 7678 0 25196 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 853 5787 SH SOLE 1747 0 4040 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 1074 10356 SH SOLE 2457 0 7898 ISHARES MSCI USA SMALL-CAP MIN VOL FACTOR ETF ETF 46435G433 497 17010 SH SOLE 2914 0 14095 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 3265 15055 SH SOLE 0 0 15055 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 2337 19785 SH SOLE 0 0 19785 ISHARES RUSSELL 2000 GROWTH ETF ETF 464287648 374 1689 SH SOLE 0 0 1688 ISHARES RUSSELL 2000 VALUE ETF ETF 464287630 436 4393 SH SOLE 0 0 4393 ISHARES RUSSELL MID-CAP GROWTH ETF ETF 464287481 521 3013 SH SOLE 81 0 2932 ISHARES RUSSELL MID-CAP VALUE ETF ETF 464287473 582 7204 SH SOLE 21 0 7182 ISHARES S&P 500 GROWTH ETF ETF 464287309 384 1663 SH SOLE 0 0 1663 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 369 1544 SH SOLE 1483 0 61 ISHARES S&P SMALL-CAP 600 VALUE ETF ETF 464287879 244 1993 SH SOLE 0 0 1992 ISHARES S&P SMALL-CAP FUND ETF 464287804 213 3031 SH SOLE 332 0 2699 ISHARES SELECT DIVIDEND ETF ETF 464287168 1439 17646 SH SOLE 0 0 17646 ISHARES TIPS BOND ETF ETF 464287176 476 3764 SH SOLE 0 0 3764 JOHNSON & JOHNSON COM Stock 478160104 1369 9198 SH SOLE 76 0 9121 JPMORGAN CHASE & CO COM Stock 46625H100 380 3945 SH SOLE 0 0 3945 KAYNE ANDERSN MLP MIDS INVT CO COM CEF 486606106 115 28806 SH SOLE 0 0 28805 LOCKHEED MARTIN CORP COM Stock 539830109 311 810 SH SOLE 170 0 640 LOWES COS INC COM Stock 548661107 686 4134 SH SOLE 155 0 3978 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP Stock 559080106 702 20537 SH SOLE 0 0 20537 MASTERCARD INCORPORATED CL A Stock 57636Q104 788 2330 SH SOLE 89 0 2241 MCDONALDS CORP COM Stock 580135101 1415 6446 SH SOLE 438 0 6008 MEDTRONIC PLC SHS Stock G5960L103 396 3807 SH SOLE 516 0 3290 MFS MULTIMARKET INCOME TR SH BEN INT CEF 552737108 800 142328 SH SOLE 30167 0 112160 MICROSOFT CORP COM Stock 594918104 1902 9045 SH SOLE 798 0 8246 NEXTERA ENERGY INC COM Stock 65339F101 1530 5513 SH SOLE 361 0 5151 NIKE INC CL B Stock 654106103 4305 34292 SH SOLE 406 0 33886 NOVARTIS AG SPONSORED ADR ADR 66987V109 204 2346 SH SOLE 623 0 1722 NUVEEN PFD & INCOME OPPORTUNIT COM CEF 67073B106 825 97199 SH SOLE 0 0 97198 PEPSICO INC COM Stock 713448108 1181 8520 SH SOLE 275 0 8245 PFIZER INC COM Stock 717081103 1060 28875 SH SOLE 1021 0 27853 PLAINS ALL AMERN PIPELINE L P UNIT LTD PARTN Stock 726503105 64 10667 SH SOLE 0 0 10666 PROCTER AND GAMBLE CO COM Stock 742718109 957 6882 SH SOLE 257 0 6624 RAYTHEON TECHNOLOGIES CORP COM Stock 75513E101 249 4333 SH SOLE 596 0 3737 REALTY INCOME CORP COM REIT 756109104 564 9284 SH SOLE 0 0 9283 SAREPTA THERAPEUTICS INC COM Stock 803607100 449 3200 SH SOLE 0 0 3200 SOUTHERN CO COM Stock 842587107 327 6032 SH SOLE 456 0 5576 SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 78464A409 1226 24462 SH SOLE 1185 0 23277 SPDR S&P 500 ETF Put 78462F953 268 800 SH Put SOLE 0 0 800 SPDR S&P 500 ETF Put 78462F953 268 800 SH Put SOLE 0 0 800 SPDR S&P 500 ETF Put 78462F953 737 2200 SH Put SOLE 0 0 2200 SPDR S&P 500 ETF ETF 78462F103 1157 3454 SH SOLE 617 0 2837 SPDR S&P 600 SMALL CAP GROWTH ETF ETF 78464A201 767 12991 SH SOLE 764 0 12226 STARBUCKS CORP COM Stock 855244109 230 2683 SH SOLE 434 0 2248 STIFEL FINL CORP COM Stock 860630102 538 10643 SH SOLE 2000 0 8643 TESLA INC COM Stock 88160R101 966 2251 SH SOLE 90 0 2161 TEXAS INSTRS INC COM Stock 882508104 286 2003 SH SOLE 379 0 1624 UNION PAC CORP COM Stock 907818108 623 3165 SH SOLE 185 0 2980 UNITEDHEALTH GROUP INC COM Stock 91324P102 273 875 SH SOLE 30 0 845 US BANCORP DEL COM NEW Stock 902973304 687 19161 SH SOLE 0 0 19160 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 719 5586 SH SOLE 1953 0 3632 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 6861 167753 SH SOLE 2550 0 165202 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 3810 88117 SH SOLE 1974 0 86143 VANGUARD GROWTH INDEX FUND ETF 922908736 63593 279395 SH SOLE 23012 0 256381 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 215 1055 SH SOLE 848 0 207 VANGUARD HIGH DIVIDEND YIELD ETF ETF 921946406 463 5722 SH SOLE 2070 0 3652 VANGUARD INFORMATION TECHNOLOGY INDEX FUND ETF 92204A702 359 1153 SH SOLE 1004 0 149 VANGUARD INTERMEDIATE-TERM BOND INDEX FUND ETF 921937819 235 2516 SH SOLE 0 0 2516 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 532 5557 SH SOLE 0 0 5557 VANGUARD LARGE-CAP INDEX FUND ETF 922908637 3077 19672 SH SOLE 1447 0 18225 VANGUARD MEGA CAP ETF ETF 921910873 380 3173 SH SOLE 2928 0 245 VANGUARD MID-CAP GROWTH INDEX FUND ETF 922908538 8231 45694 SH SOLE 2307 0 43386 VANGUARD MID-CAP INDEX FUND ETF 922908629 1994 11314 SH SOLE 2575 0 8739 VANGUARD MID-CAP VALUE INDEX FUND ETF 922908512 3387 33417 SH SOLE 0 0 33416 VANGUARD REAL ESTATE ETF ETF 922908553 1557 19724 SH SOLE 563 0 19160 VANGUARD RUSSELL 2000 ETF ETF 92206C664 248 2049 SH SOLE 1908 0 141 VANGUARD S&P 500 ETF ETF 922908363 646 2099 SH SOLE 0 0 2099 VANGUARD SHORT-TERM BOND INDEX FUND ETF 921937827 1937 23327 SH SOLE 0 0 23326 VANGUARD SHORT-TERM GOVERNMENT BOND ETF ETF 92206C102 475 7657 SH SOLE 0 0 7656 VANGUARD SMALL-CAP GROWTH INDEX FUND ETF 922908595 17688 82295 SH SOLE 5916 0 76378 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 1093 7108 SH SOLE 1070 0 6038 VANGUARD SMALL-CAP VALUE INDEX FUND ETF 922908611 3418 30900 SH SOLE 62 0 30837 VANGUARD TOTAL BOND MARKET INDEX FUND ETF 921937835 2553 28940 SH SOLE 0 0 28939 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 1167 6854 SH SOLE 2296 0 4557 VANGUARD VALUE INDEX FUND ETF 922908744 15341 146791 SH SOLE 3594 0 143197 VERIZON COMMUNICATIONS INC COM Stock 92343V104 345 5797 SH SOLE 0 0 5796 VISA INC COM CL A Stock 92826C839 269 1347 SH SOLE 206 0 1141 WALMART INC COM Stock 931142103 930 6645 SH SOLE 0 0 6645 WESTERN ASSET MANAGED MUNS FD COM CEF 95766M105 904 74178 SH SOLE 0 0 74177 WESTERN MIDSTREAM PARTNERS LP COM UNIT LP INT Stock 958669103 94 11729 SH SOLE 0 0 11729 WILLIAMS COS INC COM Stock 969457100 212 10780 SH SOLE 0 0 10780 XCEL ENERGY INC COM Stock 98389B100 726 10517 SH SOLE 0 0 10517 X-TRACKERS MSCI EAFE HEDGED EQUITY ETF ETF 233051200 32944 1076595 SH SOLE 88427 0 988167