| Advisor Profile |
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Business Description |
| At Mosaic Asset Management we seek to deliver exceptional long-term investment performance while maintaining a strict focus on capital preservation. We are not style or market-cap dependent, instead, we employ a disciplined, “go anywhere” investment philosophy that allows us to concentrate on those areas of the market that present the greatest opportunity. We utilize a multi-faceted approach that incorporates the best elements of fundamental, technical and economic analysis. |
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General Information |
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| States Willing to do Business in: |
TX
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| Years of Experience in Financial Services: |
12
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| Number of Years with Current Firm: |
1
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| Work Experience: |
T. Matt Brann is the founder and Managing Director of Mosaic Asset Management. He has 11 years of trading, risk management and portfolio oversight experience. Prior to founding Mosaic Asset Management, LLC, Matt was a Vice President at Fidelity Investments where he was responsible for Brokerage Sales and Distribution across the western half of the United States. In this role he spent time educating Fidelity’s branch representatives and high net worth investors about the tools, strategies and services that are provided by Fidelity Investments. Additionally, Mr. Brann conducted local and national seminars on educational topics, including fundamental and technical trading, equity research, options, market mechanics, and trading software. He previously worked as an equity and options trader for Fidelity Brokerage Company's Spartan Trading Group. He is a chartered financial analyst and a member of the CFA institute. Mr. Brann holds the Series 3, 4, 7, 9/10, 63, and 55 securities licenses. He received a BA in history from Brigham Young University and an MS in investment management from Boston University.
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| I work with the following types of clients: |
Investment Clubs, Individual Investors, Non-Profit Organizations, Businesses
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| Foreign Languages Serviced: |
Spanish & Portuguese
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Education |
| Academic Background |
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BS Brigham Young University
MS Boston University |
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Services |
| Investment Types: |
Options & Futures, Mutual Funds, Stocks, Bonds, Exchange Traded Funds (ETFs)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Analyst (CFA)
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| Securities Licenses: |
Series 55, Series 4, Series 7, Series 8, Series 9, Series 10, Series 63
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| Financial Organization Memberships: |
CFA Institute
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets
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| Prepared By: |
Matt Brann, CFA |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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We take great pride in providing world-class customer service, however, if any situation arises that causes a client close their account before the end of a billing period for any customer satisfaction issues, we will not charge for the current quarter. We do not, however, offer refunds for prior quarters of management.
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What are your qualifications? What is your education background? |
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In addition to 7 different industry licenses, I hold the Chartered Financial Analyst (CFA)designation. I have a bachelor's degree in History from Brigham Young University and a Master's of Science in Investment Management from Boston University. |
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What is your approach to financial planning? |
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Mosaic Asset Management was founded based on the belief that investment management should be personal. Ultimately, our success is 100% dependent upon helping our clients achieve their financial goals. We focus not only on developing portfolio strategies to meet client specific goals, but also on building meaningful, long-lasting relationships.
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| Q. |
What services do you offer? |
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Retirement planning
College Planning
Debt reduction
Estate planning
401(k)Rollovers
Investment Management
Lump sum distributions
Tax planning
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| Q. |
How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Fee only. Fees are deducted from account balances on a quarterly basis. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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No. We offer discretionary portfolio management which allows us to make investment decisions in your account when we deem appropriate. |
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Do you offer any guaranteed results? |
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No. While we are confident that our process will provide exceptional investment performance over the long time, we do not offer guaranteed results. |
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How much risk should I be willing to take? |
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We address this on a client by client basis. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Asset management, Wealth Advisory & Equity Research |
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| Q. |
What is your experience? How many clients do you currently manage? |
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12 years of financial industry experience. Fewer than 100. |
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What financial institution(s) do you represent? |
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We are not affiliated with any of the major investment houses on Wall Street, however clear our trades and custody client assets with Fidelity Investments. |
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How do you charge for your services? |
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Fee only. Charged quarterly. |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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At Mosaic Asset Management we seek to deliver exceptional long-term investment performance while maintaining a strict focus on capital preservation. We employ a multi-asset class investment philosophy modeled after the endowment funds run by Harvard and Yale. This process has outperformed the S&P 500 by more than 12% a year over the past decade. |
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| Q. |
What are your management fees? |
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What kind of plans do you specialize in? |
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SEP, SIMPLE, & 401(k) plans |
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Do you have a minimum requirement for number of employees or total investment value? |
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What type of plans do you offer? |
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SEP, SIMPLE, & 401(k) plans |
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Do you offer any additional services? |
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Asset Management, Equity Research, Wealth Advisory |
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What are your qualifications? |
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In addition to 7 different industry licenses, I hold the Chartered Financial Analyst (CFA)designation. I have a bachelor's degree in History from Brigham Young University and a Master's of Science in Investment Management from Boston University. |
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What is your approach to 401 K plan rollovers? |
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Mosaic Asset Management was founded based on the belief that investment management should be personal. Ultimately, our success is 100% dependent upon helping our clients achieve their financial goals. We focus not only on developing portfolio strategies to meet client specific goals, but also on building meaningful, long-lasting relationships.
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| Q. |
How long does the process of rolling over a 401K plan usually take? |
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1 - 4 weeks depending upon the situation |
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What financial institutions do you represent? |
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We custody and clear our trades through Fidelity Investments. |
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| Q. |
How many years of experience do you have? |
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What are your fees for this service? |
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There is no fee for this service outside of the asset management fee. |
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| Q. |
How many 401K rollover clients do you currently manage? |
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| Q. |
Do you provide a free initial consultation? |
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