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Emergency Contingency Plan

Here in Hawaii it seems we have 2 seasons, summer and hurricane and currently we find ourselves in the latter. As the company’s Chief Compliance Officer, I’d like to take this opportunity to share what contingencies Mosaic Pacific Investment Advisors have in place to ensure we can continue to manage our portfolios and your accounts in the face of any weather-related crisis.

Should an emergency come upon us where we are unable to get to our office we are fully prepared and more than capable of managing our business remotely. Our accounts are held with our trusted custodians (Charles Schwab & TD Ameritrade) and our client documentation is backed up, stored and accessible on a secured cloud-based system. This means we aren’t dependent on or store any information on a local server and can operate, place trades, manage accounts, view documents and keep in touch with our clients remotely. And in the event, we should need further assistance we have a 3rd party back office operations support in Seattle, Washington to assist us.

I hope this short write up helps to give you confidence in our abilities to manage our accounts through any emergency situations. We at Mosaic Pacific Investment Advisor value your business and understand the responsibilities you placed in us.

I welcome any feedback, comments or questions you may have regarding our emergency contingency plan or any matter. I can be reached at or 808-380-2520.

Please be safe and prepared during this hurricane season and best wishes.

Matt Tanaka Chief Compliance Officer

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