{
  "crd_number": 141303,
  "slug": "mason-and-associates-inc-los-angeles-ca-141303",
  "primary_business_name": "MASON & ASSOCIATES, INC.",
  "legal_name": "MASON & ASSOCIATES, INC.",
  "dbas": [
    "MASON & ASSOCIATES INSURANCE SERVICES LLC.",
    "TRANSFORMATIVE WEALTH MANAGEMENT"
  ],
  "city": "Los Angeles",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "31080",
  "metro": {
    "cbsa_code": "31080",
    "common_name": "Los Angeles",
    "msa_name": "Los Angeles-Long Beach-Anaheim, CA",
    "path": "/advisors/ca/los-angeles"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2006-08-03",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-01-29",
  "carried_forward": false,
  "raum_total": 828735152.0,
  "raum_discretionary": 707671058.0,
  "raum_non_discretionary": 121064094.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 8,
  "advisory_employees": 8,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 26926817.0,
      "count": 10
    },
    "individuals": {
      "raum": 127197598.0,
      "count": 423
    },
    "pension_profit_sharing": {
      "raum": 80469898.0,
      "count": 44
    },
    "high_net_worth_individuals": {
      "raum": 567361762.0,
      "count": 214
    },
    "corporations_other_businesses": {
      "raum": 26779077.0,
      "count": 7
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "IA",
    "NM",
    "NV",
    "TX",
    "WA"
  ],
  "websites": [
    "https://masonlifeplanning.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141303",
  "city_as_filed": "LOS ANGELES",
  "url": "https://advisorcensus.com/firm/mason-and-associates-inc-los-angeles-ca-141303",
  "display_name": "Mason & Associates, Inc.",
  "summary": "Mason & Associates, Inc. is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2006, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated January 29, 2026.",
  "citation": "AdvisorCensus. Mason & Associates, Inc. (CRD 141303): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Mason & Associates, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Mason & Associates, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Mason & Associates, Inc. located?",
      "a": "Mason & Associates, Inc.'s principal office is in Los Angeles, CA, according to its Form ADV; the February 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Mason & Associates, Inc. registered with the SEC or a state?",
      "a": "Mason & Associates, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 141303."
    },
    {
      "q": "How much does Mason & Associates, Inc. manage?",
      "a": "Mason & Associates, Inc. reports $828,735,152 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (85% discretionary)."
    },
    {
      "q": "How have Mason & Associates, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Mason & Associates, Inc.: Regulatory assets under management: $421,704,870 in the October 2021 data and $828,735,152 in the October 2026 data, up 97%. Total employees: 7 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Mason & Associates, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (423); high net worth individuals (214); pension and profit sharing plans (but not the plan participants or government pension plans) (44)."
    },
    {
      "q": "Which custodians does Mason & Associates, Inc. use?",
      "a": "Mason & Associates, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Mason & Associates, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/141303"
    },
    {
      "q": "What changed in Mason & Associates, Inc.'s recent Form ADV filings?",
      "a": "In the February 2026 filing data: Employees performing advisory functions went from 7 to 8. Regulatory assets under management went from $631,260,155 to $828,735,152 (+31%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 421704870.0,
      "total_employees": 7,
      "filing_date": "2021-07-22"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 512733239.0,
      "total_employees": 7,
      "filing_date": "2022-01-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 475754962.0,
      "total_employees": 7,
      "filing_date": "2023-01-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 539514440.0,
      "total_employees": 7,
      "filing_date": "2024-01-23"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 631260155.0,
      "total_employees": 7,
      "filing_date": "2025-06-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 828735152.0,
      "total_employees": 8,
      "filing_date": "2026-01-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Employees performing advisory functions went from 7 to 8.",
        "Regulatory assets under management went from $631,260,155 to $828,735,152 (+31%)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in NM."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Added the business name Transformative Wealth Management.",
        "Added an office in Berkeley, CA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/mason-and-associates-inc-los-angeles-ca-141303.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 423,
      "fewer_than_5": false,
      "raum": 127197598.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 214,
      "fewer_than_5": false,
      "raum": 567361762.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 44,
      "fewer_than_5": false,
      "raum": 80469898.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 10,
      "fewer_than_5": false,
      "raum": 26926817.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 7,
      "fewer_than_5": false,
      "raum": 26779077.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141303",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}