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MASON & ASSOCIATES, LLC

NEWPORT NEWS, VA · CRD 307206 · IAPD ↗ · (757) 223-9898

$471.4MRegulatory AUM
7Advisory reps
11Employees
8Clients
251-500Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
July 2026 — MASON & ASSOCIATES, LLC added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2026 — MASON & ASSOCIATES, LLC added office(s): 1 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
February 2026 — MASON & ASSOCIATES, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2025 — MASON & ASSOCIATES, LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — MASON & ASSOCIATES, LLC reported RAUM up 27% ($319.0M -> $403.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2025 — MASON & ASSOCIATES, LLC now reports custody of client assets ($25.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.