{"url":"https://nivawealth.com/firms/mason-and-associates-307206","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/307206","regulatoryAum":471360944,"crd":"307206","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5673609","suffix":null,"lastName":"BLACKBURN","firstName":"THOMAS","middleName":"FARRINGTON"},{"crd":"7694050","suffix":null,"lastName":"Eagle","firstName":"Kyle","middleName":"Austin"},{"crd":"7604867","suffix":null,"lastName":"Mank","firstName":"Colby","middleName":"Jordan"},{"crd":"5809825","suffix":null,"lastName":"MASON","firstName":"JOHN","middleName":"MICHAEL"},{"crd":"2062196","suffix":null,"lastName":"MASON","firstName":"KENNETH","middleName":"TOD"},{"crd":"1663788","suffix":null,"lastName":"Mason","firstName":"Michael","middleName":"Ray"},{"crd":"6042664","suffix":null,"lastName":"RAIKES","firstName":"BENJAMIN","middleName":"EDWARD"}],"total":7,"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":"2021-03-18","regulatoryAum":236524176,"clients":385,"employees":8,"offices":1},{"filedOn":"2022-05-02","regulatoryAum":306873063,"clients":407,"employees":10,"offices":1},{"filedOn":"2023-03-13","regulatoryAum":273736374,"clients":378,"employees":8,"offices":1},{"filedOn":"2024-01-26","regulatoryAum":318969574,"clients":378,"employees":9,"offices":1},{"filedOn":"2025-06-10","regulatoryAum":403872961,"clients":406,"employees":8,"offices":1},{"filedOn":"2026-08-31","regulatoryAum":471360944,"clients":414,"employees":11,"offices":8}],"secFileNumber":"801-119343","legalName":"Mason & Associates, LLC","displayName":"Mason & Associates","slug":"mason-and-associates-307206","website":"https://masonassociates.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/mason-&-associates-llc/","founded":"2020","organization":"Virginia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2 Bayport Way, Suite 110","city":"Newport News","state":"VA","stateName":"Virginia","country":"United States","postalCode":"23606"},"tradeNames":[],"registration":{"secApproved":"24 August 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clients.","otherCustodians":[],"leadership":[{"name":"Thomas Blackburn","title":"Member, Vice President, Chief Compliance Officer, & Senior Financial Planner","crd":"5673609"},{"name":"John Mason","title":"Member, President, & Senior Financial Planner","crd":"5809825"},{"name":"Michael Mason","title":"Member, Chairman, & Senior Financial Planner","crd":"1663788"},{"name":"Barbara Mason","title":"Chief Operations Officer","crd":"4504567"},{"name":"Kenneth Mason","title":"Member, Senior Financial Planner","crd":"2062196"},{"name":"Benjamin Raikes","title":"Member & Senior Financial Planner","crd":"6042664"}],"ownership":[{"label":"Michael Mason","detail":"Member, chairman, & senior financial planner in the 10% to 25% ownership band, since January 2020."},{"label":"Kenneth Mason","detail":"Member, senior financial planner in the 10% to 25% ownership band, since January 2020."},{"label":"John Mason","detail":"Member, president, & senior financial planner in the 25% to 50% ownership band and a control person, since January 2020."},{"label":"Thomas Blackburn","detail":"Member, vice president, chief compliance officer, & senior financial planner in the 25% to 50% ownership band and a control person, since December 2020."},{"label":"Benjamin Raikes","detail":"Member & senior financial planner in the 10% to 25% ownership band, since January 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":7},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"2 Bayport Way, Suite 110","city":"Newport News","headquarters":true}]}],"brochureServices":["divorce planning","estate planning","insurance","tax planning","tax preparation"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"757-223-9898","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription 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many clients does Mason & Associates have?","answer":"Mason & Associates has 414 clients and manages $471 million for them, as of August 2026. They include 242 individual clients and 172 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Mason & Associates offer?","answer":"Mason & Associates provides financial planning, portfolio management for individuals and small businesses, selecting other managers, educational seminars, divorce planning, estate planning, insurance, tax planning, and tax preparation.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Mason & Associates charge?","answer":"Mason & Associates charges up to 2.00% a year for its Investment Management Fees. The fee is billed in arrears and is negotiable.","source":"2026-08-31 MASON & ASSOCIATES FORM ADV PART 2A, filed 13 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Mason & Associates use?","answer":"Mason & Associates’ separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $462M. 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 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Mason & Associates have?","answer":"Mason & Associates has 7 investment adviser representatives registered with state securities authorities, out of 11 employees, and 7 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 Mason & Associates invest in?","answer":"At the end of its last fiscal year, Mason & Associates’ separately managed accounts held 97% registered funds (mutual funds, ETFs, BDCs), 2% exchange-traded equities and 1% cash and equivalents.","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 Mason & Associates?","answer":"Mason & Associates’ direct owners are Michael Mason, Kenneth Mason, John Mason, Thomas Blackburn and Benjamin Raikes, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 31 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Mason & Associates get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Mason & Associates?","answer":"Mason & Associates’ main office is at 2 Bayport Way, Suite 110, Newport News, VA 23606. Its phone number is 757-223-9898. Its website is masonassociates.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/mason-and-associates-307206/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1895045/000175496026000510/0001754960-26-000510-index.html","totalValue":480573022,"positionCount":45,"top10Share":0.9073055395107053,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"LARGE CAP ETF","cusip":"922908637","value":149551671,"shares":434857,"shareType":"SH","priorValue":128226075,"priorShares":429065},{"issuer":"ISHARES TR","titleOfClass":"CORE UNIVRSL USD","cusip":"46434V613","value":135955501,"shares":2945948,"shareType":"SH","priorValue":133823978,"priorShares":2897250},{"issuer":"PIMCO ETF TR","titleOfClass":"MULTISECTOR 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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."}