Hedge Fund Database

MASON & ASSOCIATES, INC.

Adviser information for MASON & ASSOCIATES, INC. last updated from Form ADV on January 23rd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End OCTOBER
Legal Location California, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,612 $475.0M
Non-Discretionary 105 $64.6M
Total 1,717 $539.5M

Clients

Type Number RAUM
Individuals 301 $92.1M
HNW Individuals 122 $288.4M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 69 $139.0M
Charitable organizations 3 $4.6M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 7 $15.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 3
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-67068
SEC ERA File Number 801-67068
SEC CIK Numbers 1917686
SEC CRD Numbers 141303
Legal Entity Identifier None

Principal Office

7474 NORTH FIGUEROA STREET
SUITE 100
LOS ANGELES
CA
United States
Monday - Friday, 8AM - 5PM
Tel: 323-254-3072, Fax: 323-254-3198

Websites

www.masonlifeplanning.com

Chief Compliance Officer

THOMAS MASON
7474 N. FIGUEROA ST.
LOS ANGELES
CA
United States
Tel: 323-254-3072
Fax: 323-254-3198
(Full email address available in API data)

Regulatory Contact

BRENT MASON
MANAGING PARTNER
7474 FIGUEROA STREET
LOS ANGELES
CA
United States
Tel: 323-254-3072
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MASON, CHARLES, WILLIAM Individual – CEO 01/2007 < 5%
MASON, BRENT, MARKEY Individual – PRESIDENT 01/2007 < 5%
SHIM, SUN, MI Individual – VICE PRESIDENT 01/2007 < 5%
MASON & ASSOCIATES, INC. Domestic Entity – CORPORATION 01/2014 > 75%
MASON, THOMAS, DEAN Individual – CCO 07/2021 < 5%
MASON, BRENT, MARKEY Individual MASON & ASSOCIATES, INC. OWNER 01/2014 50-75%

No. Employees, Historic

105020192020202120222023202420257 on 4/30/20197 on 10/23/20197 on 10/23/20197 on 12/10/20197 on 1/15/20207 on 4/7/20207 on 6/3/20207 on 7/21/20207 on 12/18/20207 on 1/27/20217 on 7/22/20217 on 1/28/20227 on 10/31/20227 on 1/3/20237 on 1/27/20237 on 1/23/2024

RAUM, Historic

600M300M02019202020212022202320242025315781537 on 4/30/2019315781537 on 10/23/2019315781537 on 10/23/2019315781537 on 12/10/2019378496683 on 1/15/2020378496683 on 4/7/2020378496683 on 6/3/2020378496683 on 7/21/2020421704870 on 12/18/2020421704870 on 1/27/2021421704870 on 7/22/2021512733239 on 1/28/2022512733239 on 10/31/2022512733239 on 1/3/2023475754962 on 1/27/2023539514440 on 1/23/2024

No. Clients, Historic

60030002019202020212022202320242025425 on 4/30/2019425 on 10/23/2019425 on 10/23/2019425 on 12/10/2019395 on 1/15/2020395 on 4/7/2020395 on 6/3/2020395 on 7/21/2020421 on 12/18/2020421 on 1/27/2021421 on 7/22/2021447 on 1/28/2022447 on 10/31/2022447 on 1/3/2023507 on 1/27/2023502 on 1/23/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 576K 3K 0
ADVANCED MICRO DEVICES INC COM 522K 3K 0
ADVISORSHARES TR ADVISORSHS ETF 3M 41K 0
AGNICO EAGLE MINES LTD COM 299K 5K 0
ALIBABA GROUP HLDG LTD SPONSORED ADS 292K 4K 0
ALPHABET INC CAP STK CL A 1M 7K 0
ALPHABET INC CAP STK CL C 1M 7K 0
ALPS ETF TR OSHARES US SMLCP 719K 17K 0
AMAZON COM INC COM 3M 13K 0
AMGEN INC COM 645K 2K 0
APPLE INC COM 7M 34K 0
BANK AMERICA CORP COM 227K 6K 0
BELPOINTE PREP LLC UNIT RP LTD LB A 562K 10K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 5M 12K 0
BIOGEN INC COM 238K 1K 0
BLACKSTONE INC COM 212K 2K 0
BOEING CO COM 440K 2K 0
CHEVRON CORP NEW COM 370K 2K 0
COLUMBIA ETF TR II EM CORE EX ETF 6M 201K 0
COSTCO WHSL CORP NEW COM 478K 562 0
CROWDSTRIKE HLDGS INC CL A 955K 2K 0
CVB FINL CORP COM 2M 87K 0
DELTA AIR LINES INC DEL COM NEW 228K 5K 0
DEXCOM INC COM 208K 2K 0
DIMENSIONAL ETF TRUST US SMALL CAP ETF 757K 13K 0
DIMENSIONAL ETF TRUST US EQUITY ETF 35M 587K 0
DISNEY WALT CO COM 562K 6K 0
EDWARDS LIFESCIENCES CORP COM 408K 4K 0
ELI LILLY & CO COM 732K 809 0
EXXON MOBIL CORP COM 1M 12K 0
FIRST CTZNS BANCSHARES INC N CL A 204K 121 0
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 264K 3K 0
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 353K 6K 0
FIRST TR EXCHANGE-TRADED FD WTR ETF 259K 3K 0
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 211K 6K 0
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 70M 2M 0
FS KKR CAP CORP COM 607K 31K 0
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 3M 31K 0
HOME DEPOT INC COM 540K 2K 0
INDEXIQ ETF TR FTSE INTERNL EQT 6M 224K 0
INVESCO EXCH TRADED FD TR II SR LN ETF 23M 1M 0
INVESCO EXCHANGE TRADED FD T S&P MDCP QUALITY 5M 50K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL ENR 8M 95K 0
ISHARES SILVER TR ISHARES 395K 15K 0
ISHARES TR US HLTHCR PR ETF 4M 76K 0
ISHARES TR U.S. MED DVC ETF 4M 72K 0
ISHARES TR 7-10 YR TRSY BD 8M 88K 0
ISHARES TR RUS TP200 VL ETF 639K 9K 0
ISHARES TR US AER DEF ETF 864K 7K 0
ISHARES TR RUSSELL 3000 ETF 808K 3K 0
ISHARES TR AGENCY BOND ETF 9M 86K 0
ISHARES TR 3 7 YR TREAS BD 8M 69K 0
ISHARES TR MSCI USA ESG SLC 239K 2K 0
ISHARES TR MSCI INTL QUALTY 13M 339K 0
ISHARES TR CORE S&P MCP ETF 409K 7K 0
ISHARES TR RUS TP200 GR ETF 242K 1K 0
J P MORGAN EXCHANGE TRADED F MUNICIPAL ETF 2M 32K 0
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 3M 55K 0
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 2M 30K 0
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 36M 684K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 599K 12K 0
JANUS DETROIT STR TR HENDRSON AAA CL 10M 192K 0
JOHNSON & JOHNSON COM 232K 2K 0
JPMORGAN CHASE & CO. COM 1M 6K 0
LOCKHEED MARTIN CORP COM 617K 1K 0
MASTERCARD INCORPORATED CL A 348K 789 0
MCDONALDS CORP COM 263K 1K 0
MERCK & CO INC COM 251K 2K 0
META PLATFORMS INC CL A 441K 875 0
MICROSOFT CORP COM 4M 10K 0
NIKE INC CL B 295K 4K 0
NORTHROP GRUMMAN CORP COM 521K 1K 0
NVIDIA CORPORATION COM 4M 33K 0
PACER FDS TR PACER US SMALL 3M 80K 0
PALANTIR TECHNOLOGIES INC CL A 251K 10K 0
PALO ALTO NETWORKS INC COM 488K 1K 0
PFIZER INC COM 418K 15K 0
REALTY INCOME CORP COM 272K 5K 0
SCHWAB CHARLES CORP COM 443K 6K 0
SCHWAB STRATEGIC TR US BRD MKT ETF 916K 15K 0
SCHWAB STRATEGIC TR US LCAP GR ETF 292K 3K 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 231K 3K 0
SELECT SECTOR SPDR TR TECHNOLOGY 654K 3K 0
SELECT SECTOR SPDR TR ENERGY 734K 8K 0
SHERWIN WILLIAMS CO COM 947K 3K 0
SPDR INDEX SHS FDS S&P EMKTSC ETF 3M 58K 0
SPDR INDEX SHS FDS PORTFOLIO EMG MK 2M 42K 0
SPDR S&P 500 ETF TR TR UNIT 485K 892 0
SPDR SER TR NUVEEN BLMBRG SH 289K 6K 0
SUN LIFE FINANCIAL INC. COM 1M 22K 0
TECK RESOURCES LTD CL B 285K 6K 0
TESLA INC COM 2M 9K 0
UNITED STS COMMODITY INDEX F CM REP COPP FD 285K 10K 0
UNITEDHEALTH GROUP INC COM 2M 4K 0
VANECK ETF TRUST SEMICONDUCTR ETF 8M 30K 0
VANGUARD INDEX FDS TOTAL STK MKT 1M 5K 0
VANGUARD INDEX FDS MID CAP ETF 2M 9K 0
VANGUARD INDEX FDS GROWTH ETF 450K 1K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 223K 445 0
VANGUARD MUN BD FDS TAX EXEMPT BD 1M 24K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 1M 19K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 8M 46K 0
VISA INC COM CL A 660K 3K 0
WALMART INC COM 231K 3K 0
WISDOMTREE TR EM EX ST-OWNED 244K 8K 0
WISDOMTREE TR FLOATNG RAT TREA 19M 380K 0
WISDOMTREE TR ITL HDG QTLY DIV 7M 146K 0