# Mason & Associates, Inc.

> 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.

- CRD: 141303
- Filed as: MASON & ASSOCIATES, INC.
- Also doing business as: MASON & ASSOCIATES INSURANCE SERVICES LLC., TRANSFORMATIVE WEALTH MANAGEMENT
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Los Angeles, CA
- Filing period: October 2026
- Form ADV filing dated: January 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/141303
- AdvisorCensus page: https://advisorcensus.com/firm/mason-and-associates-inc-los-angeles-ca-141303

## Quick answers

**How is Mason & Associates, Inc. compensated?**
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.

**Where is Mason & Associates, Inc. located?**
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).

**Is Mason & Associates, Inc. registered with the SEC or a state?**
Mason & Associates, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 141303.

**How much does Mason & Associates, Inc. manage?**
Mason & Associates, Inc. reports $828,735,152 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (85% discretionary).

**How have Mason & Associates, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does Mason & Associates, Inc. serve?**
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).

**Which custodians does Mason & Associates, Inc. use?**
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.

**Does Mason & Associates, Inc. report any disciplinary disclosures?**
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

**What changed in Mason & Associates, Inc.'s recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- National Financial Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $828,735,152
- Discretionary: $707,671,058
- Non-discretionary: $121,064,094

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 423 | $127,197,598 |
| High net worth individuals | 214 | $567,361,762 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 44 | $80,469,898 |
| Charitable organizations | 10 | $26,926,817 |
| Corporations or other businesses not listed above | 7 | $26,779,077 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2006 (20 years)
- Employees: 8 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, IA, NM, NV, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the February 2026 filing
- Berkeley, CA

### Websites listed on Form ADV (Item 1.I)
- masonlifeplanning.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $421,704,870 | 7 | July 22, 2021 |
| October 2022 | $512,733,239 | 7 | January 28, 2022 |
| October 2023 | $475,754,962 | 7 | January 27, 2023 |
| October 2024 | $539,514,440 | 7 | January 23, 2024 |
| October 2025 | $631,260,155 | 7 | June 5, 2025 |
| October 2026 | $828,735,152 | 8 | January 29, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Employees performing advisory functions went from 7 to 8.
- Regulatory assets under management went from $631,260,155 to $828,735,152 (+31%).

### December 2025
- Registered or notice-filed in NM.

### November 2025
- Added the business name Transformative Wealth Management.
- Added an office in Berkeley, CA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Mason & Associates, Inc. (CRD 141303): Form ADV filing data as of October 2026.