Mosaic Advisors, LLC Business Continuity Plan Overview
The policy of Mosaic Advisors is to respond to a Significant Business Disruption (“SBD”) by safeguarding employees’ lives and Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm’s books and records, and to the extent practicable, allowing our customers to transact business as soon as possible following an SBD. In the event that Mosaic Advisors determines that it is unable to continue its business, the Firm will take steps to assure customers prompt access to investments and the underlying issuers of those investments.
Significant Business Disruptions (“SBDs”)
The Plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only the ability of Mosaic Advisors to communicate and do business, such as a fire in its building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. The response of Mosaic Advisors to an external SBD relies more heavily on other organizations and systems.
BCP Principal – Approval and Execution Authority
Carey Kesner (the “BCP Principal”) is the registered and designated principal responsible for approving the Plan on behalf of the Firm, and for conducting the required annual review. The BCP Principal and or his designee has the authority to execute this Plan.
Plan Location and Access
Mosaic Advisors will maintain copies of the Plan and the annual reviews, and the changes that have been made to it. The Firm will make such records available for inspection by the SEC and/or the various state regulators. An electronic copy of the Plan is located on Mosaic Advisors’ main server drive labeled “Business Continuity Plan”.
Updates and Annual Review
Mosaic Advisors will update the Plan whenever there is a material change to the operations, structure, business or location of the Firm. In addition, Mosaic Advisors will review this Plan annually, on or before 12/31 of each respective year, to modify it for any changes in the operations, structure, business or location of the Firm.
Emergency Contact Persons
Executive management is aware of the potentially devastating financial, organizational, and political consequences of the failure of one or more mission-critical information systems. The two emergency contact persons for Mosaic Advisors are:
Carey Kesner: Director / Chief Compliance Officer
- Office Phone Number: (713) 980-4102
- Cell: (713) 594-8323,
- email address: firstname.lastname@example.org
Brandon Henry: Director
- Office Phone Number: (713) 980-4103
- Cell: (281) 309-2584
- email address: email@example.com
Mosaic Advisors is organized as a limited liability company and is registered as an investment adviser with the SEC. In that capacity, Mosaic Advisors provides wealth advisory services by managing investment advisory accounts and also provides financial planning services
The following sets forth a list of all offices of Mosaic Advisors, both registered and unregistered, along with the phone number for each respective location, the means of transportation that employees may use to reach each respective facility, and which mission critical systems, as defined in the Plan, take place at each location.
- Main Office
- Our main office is located at 4265 San Felipe Street, Suite 760, Houston, TX 77027. Its telephone number is 713-980-4100. Our employees may travel to the office by car. Mission critical systems located there include desktop & laptop computers, phone systems, ShareFile for cloud storage and file sharing, and Microsoft Office 365 for Email.
Alternative Physical Location(s) of Employees
In the event of an SBD, we will move our staff to an unaffected location or they will work from their homes. Staff will use their cell phones for contact purposes.