{"url":"https://nivawealth.com/firms/first-mason-financial-145025","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145025","regulatoryAum":185661618,"crd":"145025","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4430474","suffix":null,"lastName":"MASON","firstName":"DANIEL","middleName":"JEROME"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":107781083,"clients":366,"employees":2,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":134665528,"clients":220,"employees":3,"offices":1},{"filedOn":"2023-03-25","regulatoryAum":148125145,"clients":260,"employees":3,"offices":1},{"filedOn":"2024-03-31","regulatoryAum":139885996,"clients":352,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":155046110,"clients":371,"employees":3,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":185661618,"clients":383,"employees":3,"offices":1}],"secFileNumber":"801-72315","legalName":"First Mason Financial, LLC","displayName":"First Mason Financial","slug":"first-mason-financial-145025","website":"https://fmf365.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/145025/b40cb1e2c4f91fd4-r1.webp","tone":"light","width":281,"height":200,"sourceUrl":"https://fmf365.com/","sourceLabel":"First Mason Financial, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Ohio limited liability company","fiscalYearEnd":"December","headquarters":{"street":"33 Public Square","city":"Medina","state":"OH","stateName":"Ohio","country":"United States","postalCode":"44256"},"tradeNames":[],"registration":{"secApproved":"3 May 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":478469.13612565445,"staff":{"employees":3,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":185661618,"discretionary":185661618,"discretionaryAccounts":1068,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":317,"regulatoryAum":75842709},{"label":"High-net-worth individuals","clients":65,"regulatoryAum":106932501},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":2886408}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Fidelity Distributors Company LLC","shortName":"Fidelity","location":"Covington, KY","smaAssets":184640909},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":1020708}],"custodyNote":"First Mason Financial does not have custody of client assets.","leadership":[{"name":"Daniel Mason","title":"President & Chief Compliance Officer","crd":"4430474"}],"ownership":[{"label":"Daniel Mason","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since August 2007."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"33 Public Square","city":"Medina","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"330-722-5777","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":39},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":58}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145025/PDF/145025.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does First Mason Financial have?","answer":"First Mason Financial has 383 clients and manages $186 million for them, as of March 2026. They include 317 individual clients, 65 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Mason Financial offer?","answer":"First Mason Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does First Mason Financial use?","answer":"First Mason Financial’s separately managed account assets are held at Fidelity Distributors Company LLC (Covington, KY), with $185M and Charles Schwab & Co., Inc. (Westlake, TX), with $1.02M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does First Mason Financial have?","answer":"First Mason Financial has 1 investment adviser representative registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does First Mason Financial invest in?","answer":"At the end of its last fiscal year, First Mason Financial’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 39% exchange-traded equities and 3% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns First Mason Financial?","answer":"First Mason Financial’s direct owner is Daniel Mason (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Mason Financial get paid?","answer":"First Mason Financial is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is First Mason Financial registered with the SEC?","answer":"Yes, First Mason Financial has been registered with the SEC as an investment adviser since 3 May 2011. Its CRD number is 145025 and its SEC file number is 801-72315.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact First Mason Financial?","answer":"First Mason Financial’s main office is at 33 Public Square, Medina, OH 44256. Its phone number is 330-722-5777. Its website is fmf365.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}