Mason & Associates, Inc.
- Regulatory AUM
- $829M
- Discretionary
- $708M
- Clients
- 698
- Avg AUM / client
- $1.2M
- Accounts
- 2,143
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Jan 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 423 | $127M | 15.3% |
| High net worth individuals | 214 | $567M | 68.5% |
| Pension and profit sharing plans | 44 | $80.5M | 9.71% |
| Charitable organizations | 10 | $26.9M | 3.25% |
| Corporations and other businesses | 7 | $26.8M | 3.23% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Musick, Peeler & Garrett Llp Employee Asset Accumulation Program Musick, Peeler & Garrett Llp | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sun Mi Shim | Vice President | CFP | Nov 2006 (20y) | Less than 5% |
| Brent Markey Mason | President | Jan 2007 (20y) | ≈ 37.5% – 75% via Mason & Associates, Inc. | |
| Charles William Mason | Ceo | CFP | Jan 2007 (20y) | Less than 5% |
| Mason, Thomas, Dean | Cco | Jul 2021 (5y) | Less than 5% | |
| Kent Lan Dallmeyer | Registered representative | Jul 2015 (11y) | ||
| Liliana Verduzco | Registered representative | Jun 2016 (10y) | ||
| Abel Alexander Santibanez | Registered representative | Sep 2018 (8y) | ||
| Mitchell Crocker | Registered representative | Jun 2023 (3y) | ||
| Allan William Moskowitz | Registered representative | CFP | Sep 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mason & Associates, Inc. | Corporation | Jan 2014 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Brent Markey Mason: 50% – 75% of Mason & Associates, Inc. × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Musick, Peeler & Garrett Llp Employee Asset Accumulation Program | Musick, Peeler & Garrett Llp | 163 | $137M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/29/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $626M (76% of AUM) Jan 2026
- National Financial Services (Fidelity) $85.6M (10% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 29, 2026.
View current Form ADV (SEC/IAPD) ↗