Mason & Associates provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 700 clients last fiscal year.
Mason & Associates reports 698 clients. They include 423 individual clients, 214 high-net-worth individuals, and 44 pension and profit-sharing plans. Of its assets, 85.4% ($708M across 1,989 accounts) are managed with discretion; $121M across 154 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 61% | 15% |
| High-net-worth individuals | 31% | 68% |
| Pension and profit-sharing plans | 6% | 10% |
| Charitable organizations | 1% | 3% |
| Corporations and other businesses | 1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 423 | $127M | 15.3% | $301K |
| High-net-worth individuals | 214 | $567M | 68.5% | $2.65M |
| Pension and profit-sharing plans | 44 | $80.5M | 9.7% | $1.83M |
| Charitable organizations | 10 | $26.9M | 3.2% | $2.69M |
| Corporations and other businesses | 7 | $26.8M | 3.2% | $3.83M |
| Total | 698 | $829M | 100% | $1.19M |
- Clients
- 423
- Regulatory AUM
- $127M
- AUM share
- 15.3%
- Avg. per client
- $301K
- Clients
- 214
- Regulatory AUM
- $567M
- AUM share
- 68.5%
- Avg. per client
- $2.65M
- Clients
- 44
- Regulatory AUM
- $80.5M
- AUM share
- 9.7%
- Avg. per client
- $1.83M
- Clients
- 10
- Regulatory AUM
- $26.9M
- AUM share
- 3.2%
- Avg. per client
- $2.69M
- Clients
- 7
- Regulatory AUM
- $26.8M
- AUM share
- 3.2%
- Avg. per client
- $3.83M
Total
- Clients
- 698
- Regulatory AUM
- $829M
- AUM share
- 100%
- Avg. per client
- $1.19M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 700
Mason & Associates charges 1.00%–1.25% a year for its Investment Management Agreement. The fee is billed in advance, is negotiable and requires an account of at least $1,000,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial plan fee is set by the engagement, with a minimum fee of $1,000 that is negotiable; the fee may be waived if the client hires Mason to manage investments.
- Hourly planning
- Limited-scope hourly planning engagements and follow-on implementation work are billed at $350 per hour.
Mason & Associates, Inc. owns 75% or more of Mason & Associates and is in turn owned by Brent Mason (50–75%). The leadership team of Mason & Associates includes President Brent Mason. It has 8 employees.
Leadership
Brent MasonPresident
Sun ShimVice President
- Thomas MasonCCO
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
Staff
- 8 employees
- 8 in advisory functions
- 8 state-registered reps
- 4 insurance agents
- 1 soliciting firm
- Owns 50% to 75% of Mason & Associates, Inc.
Brent Mason
Control person · since January 2014
Mason & Associates’ regulatory assets grew 2.0× from $422M (July 2021) to $829M (January 2026); clients rose from 421 to 698 and employees from 7 to 8. In 2026, Transformative Wealth Management joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| January 2026 | $829M | 698 | 8 | 2 |
| June 2025 | $631M | 565 | 7 | 1 |
| January 2024 | $540M | 502 | 7 | 1 |
| January 2023 | $476M | 507 | 7 | 1 |
| January 2022 | $513M | 447 | 7 | 1 |
| July 2021 | $422M | 421 | 7 | 1 |
Firms that joined
20261 joined
- Transformative Wealth ManagementTeamNo filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Mason & Associates has 1 office, with 2 listed addresses in California.
California · 2 listed addresses
- 7474 North Figueroa Street, Suite 100, Los AngelesHQ
- 900 Colusa Ave., Suite 201, Berkeley
Other business names
Mason & Associates has reported 2 other business names to the SEC.
- Mason & Associates Insurance Services LLC.
- Transformative Wealth Management
Contact and registration details
- Legal name
- Mason & Associates, Inc.
- Headquarters
- 7474 North Figueroa Street, Suite 100, Los Angeles, CA 90041
- Website
- masonlifeplanning.com
- Phone
- 323-254-3072
- SEC file
- 801-67068
- Founded
- 2006
- Structure
- California corporation
- Fiscal year end
- October
Mason & Associates uses Charles Schwab ($626M, 88%) and Fidelity ($85.6M, 12%) as custodians for its separately managed accounts. Mason & Associates does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $626M88%
- FidelityNational Financial Services LLC · Boston, MA · $85.6M12%
At year end, Mason & Associates’ separately managed accounts were mostly in stocks (64%) and funds (24%). Its reported 13F holdings for the quarter ended 30 June 2026 total $619M across 161 positions; the largest are iShares TR (11.0%), Columbia ETF TR I (7.1%) and Dimensional ETF Trust (6.4%).
What the accounts hold
- Stocks64%
- Exchange-traded equities61%
- Non-exchange-traded equities3%
- Funds24%
- Bonds10%
- Cash2%
Reported 13F holdings
- $619M
- Reported 13F value
- 161
- Positions
- 48.0%
- In the 10 largest
- +19.9%
- Value vs. prior quarter
- iShares TR · Rus 1000 ETF11.0%
- Columbia ETF TR I · Resh Enhnc Cor7.1%
- Dimensional ETF Trust · US Equi Mark ETF6.4%
- Vaneck ETF Trust · Semiconductr ETF4.2%
- New York Life Investments ET · FTSE Intl Eqty C4.0%
- American Centy ETF TR · Intl EQT ETF3.9%
- Janus Detroit Str TR · Hendrson Aaa CL3.0%
- Vanguard Scottsdale Fds · Shrt Trm Corp. BD3.0%
- J P Morgan Exchange Traded F · US Qualty Fctr2.9%
- SPDR Series Trust · ST Term High ETF2.6%
Together, the ten largest are 48.0% of reported value.
How many clients does Mason & Associates have?
Mason & Associates has 698 clients and manages $829 million for them, as of January 2026. They include 423 individual clients, 214 high-net-worth individuals, and 44 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 January 2026
What services does Mason & Associates offer?
Mason & Associates provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Mason & Associates charge?
Mason & Associates charges 1.00%–1.25% a year for its Investment Management Agreement. The fee is billed in advance, is negotiable and requires an account of at least $1,000,000.
Which custodians does Mason & Associates use?
Mason & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $626M and National Financial Services LLC (Boston, MA), with $85.6M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 January 2026
How many financial advisors does Mason & Associates have?
Mason & Associates has 8 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Mason & Associates invest in?
At the end of its last fiscal year, Mason & Associates’ separately managed accounts held 61% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs), 10% investment grade corporate bonds, 3% non-exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Mason & Associates have a minimum investment?
Yes, Mason & Associates’ minimum account size for its Investment Management Agreement is $1M.
Who owns Mason & Associates?
Mason & Associates is owned through a holding company by Brent Mason. Its direct owner is Mason & Associates, Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 January 2026
How does Mason & Associates get paid?
Mason & Associates is paid through a percentage of assets under management, hourly charges 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
How do I contact Mason & Associates?
Mason & Associates’ main office is at 7474 North Figueroa Street, Suite 100, Los Angeles, CA 90041. Its phone number is 323-254-3072. Its website is masonlifeplanning.com.