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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

MASON & ASSOCIATES, INC.

CRD 141303

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:59b3bc2e-08ec-3f08-16c3-aca64b057161

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 4
On other graphs: 0
Observed: Jan 17, 2012 to Jan 29, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $829MItem 5.F on the latest filing (2026-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $708M
Private client RAUM: $695MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $104Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,143
Individual clients: 423
High net worth clients: 214
SEC number: 801-67068
CRD: 141303
Filings on the tape: 43
First filed: Jan 17, 2012
Latest filed: Jan 29, 2026
Organised: Corporation, CA
Website: masonlifeplanning.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SUN MI SHIM	Certified Financial Planner	LOS ANGELES, CA	19	29	1	no
KENT LAN DALLMEYER	n/a	WASHINGTON, IA	11	45	2	no
LILIANA VERDUZCO	n/a	LOS ANGELES, CA	10	23	n/a	no
ABEL ALEXANDER SANTIBANEZ	n/a	LOS ANGELES, CA	8	15	n/a	no
CHARLES WILLIAM MASON	Certified Financial Planner	LOS ANGELES, CA	4	57	2	no
Mitchell Crocker	n/a	LOS ANGELES, CA	3	10	n/a	no
ALLAN WILLIAM MOSKOWITZ	Certified Financial Planner	Berkeley, CA	1	35	3	no
BRENT MARKEY MASON	n/a	LOS ANGELES, CA	0	26	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MASON, BRENT, MARKEY	Owner	D	yes	01/2014	Jan 17, 2012	Jan 23, 2024
MASON, BRENT, MARKEY	President	Na	yes	01/2007	Jan 17, 2012	Jan 23, 2024
MASON, CHARLES, WILLIAM	Ceo	Na	yes	01/2007	Jan 17, 2012	Jan 23, 2024
MASON, THOMAS, DEAN	Cco	Na	yes	07/2021	Jul 22, 2021	Jan 23, 2024
SHIM, SUN, MI	VICE PRESIDENT	Na	yes	01/2007	Jan 17, 2012	Jan 23, 2024
MASON & ASSOCIATES, INC.	Corporation	E	no	01/2014	Jan 15, 2015	Jan 23, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 29, 2026	$829M	$708M	8	8	1	n/a	n/a
2024	Jan 25, 2025	$631M	$555M	7	7	0	n/a	n/a
2023	Jan 23, 2024	$540M	$475M	7	5	0	n/a	n/a
2022	Jan 27, 2023	$476M	$411M	7	5	0	n/a	n/a
2021	Jan 28, 2022	$513M	$438M	7	5	0	n/a	n/a
2020	Dec 18, 2020	$422M	$363M	7	5	0	n/a	n/a
2019	Jan 15, 2020	$378M	$333M	7	5	0	n/a	n/a
2018	Jan 23, 2019	$316M	$289M	7	5	0	n/a	n/a
2017	Jan 29, 2018	$330M	$282M	6	3	0	n/a	n/a
2016	Dec 5, 2016	$224M	$187M	6	3	n/a	n/a	n/a
2015	Jan 29, 2016	$227M	$2.0M	6	3	n/a	n/a	n/a
2014	Jan 15, 2015	$229M	$0	6	5	n/a	n/a	n/a
2013	Jan 28, 2014	$198M	$0	6	6	n/a	n/a	n/a
2012	Jan 15, 2013	$135M	$0	6	6	n/a	n/a	n/a
2011	Jan 17, 2012	$104M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$829M	$631M	31.3%	$476M	20.3%	8	7	1	0

Relationships

Registered with (12)

← BRENT MARKEY MASONAdvisorregistration: current employment
Dec 23, 2025 to presentfactForm ADV
← ALLAN WILLIAM MOSKOWITZAdvisorregistration: current employment
Sep 19, 2025 to presentfactForm ADV
← Mitchell CrockerAdvisorregistration: current employment
Jun 1, 2023 to presentfactForm ADV
← CHARLES WILLIAM MASONAdvisorregistration: previous registration
Nov 2, 2006 to Dec 14, 2015factForm ADV
← ABEL ALEXANDER SANTIBANEZAdvisorregistration: current employment
Sep 5, 2018 to presentfactForm ADV
← LILIANA VERDUZCOAdvisorregistration: current employment
Jun 27, 2016 to presentfactForm ADV
← KENT LAN DALLMEYERAdvisorregistration: current employment
Jul 30, 2015 to presentfactForm ADV
← SUN MI SHIMAdvisorregistration: current employment
Nov 2, 2006 to presentfactForm ADV
← EUNICE EUNYOUNG KIMAdvisorregistration: previous registration
Jan 17, 2008 to Jul 29, 2020factForm ADV
← ZhengNan XuAdvisorregistration: previous registration
Apr 16, 2019 to Mar 5, 2020factForm ADV
← PAGE MOJGAN KHALAJESTANIAdvisorregistration: previous registration
Nov 17, 2010 to Feb 5, 2013factForm ADV
← LINDA ELLEN CLAYTONAdvisorregistration: previous registration
Jun 12, 2008 to Mar 15, 2010factForm ADV

Controls (4)

← SHIM, SUN, MIOwnerVICE PRESIDENT, ownership code NA, individual
Jan 17, 2012 to Jan 23, 2024factForm ADV
← MASON, CHARLES, WILLIAMOwnerCEO, ownership code NA, individual
Jan 17, 2012 to Jan 23, 2024factForm ADV
← MASON, BRENT, MARKEYOwnerOWNER, ownership code D, individual
Jan 17, 2012 to Jan 23, 2024factForm ADV
← MASON, THOMAS, DEANOwnerCCO, ownership code NA, individual
Jul 22, 2021 to Jan 23, 2024factForm ADV

Owns (1)

← MASON & ASSOCIATES, INC.OwnerCORPORATION, ownership code E, domestic entity
Jan 15, 2015 to Jan 23, 2024factForm ADV

Dated events

Occurred
Jan 29, 2026
Regulatory AUM changed
Mason & Associates, Inc. reported RAUM $828.7M, up 31% from $631.3M (2025-11-21 to 2026-01-29)
Form ADVobserved 4 days ago
$197M
Occurred
Jul 22, 2021
Control person left
Magdalena Elgonde Scheffy (Cco) no longer on Schedule A of Mason & Associates, Inc. (listed 2021-01-27, absent 2021-07-22)
Form ADVobserved 4 days ago
Occurred
Jul 22, 2021
Control person joined
Dean Thomas Mason (Cco) appeared on Schedule A of Mason & Associates, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 29, 2018
Regulatory AUM changed
Mason & Associates, Inc. reported RAUM $329.6M, up 47% from $223.9M (2016-12-06 to 2018-01-29)
Form ADVobserved 4 days ago
$106M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59b3bc2e-08ec-3f08-16c3-aca64b057161
First observed: Jan 17, 2012
Last observed: Jan 29, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MASON & ASSOCIATES, INC.

CRD 141303

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:59b3bc2e-08ec-3f08-16c3-aca64b057161

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:50 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SUN MI SHIM

Certified Financial Planner

LOS ANGELES, CA

KENT LAN DALLMEYER

n/a

WASHINGTON, IA

LILIANA VERDUZCO

n/a

LOS ANGELES, CA

n/a

ABEL ALEXANDER SANTIBANEZ

n/a

LOS ANGELES, CA

n/a

CHARLES WILLIAM MASON

Certified Financial Planner

LOS ANGELES, CA

Mitchell Crocker

n/a

LOS ANGELES, CA

n/a

ALLAN WILLIAM MOSKOWITZ

Certified Financial Planner

Berkeley, CA

BRENT MARKEY MASON

n/a

LOS ANGELES, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MASON, BRENT, MARKEY

Owner

yes

01/2014

Jan 17, 2012

Jan 23, 2024

MASON, BRENT, MARKEY

President

yes

01/2007

Jan 17, 2012

Jan 23, 2024

MASON, CHARLES, WILLIAM

Ceo

yes

01/2007

Jan 17, 2012

Jan 23, 2024

MASON, THOMAS, DEAN

Cco

yes

07/2021

Jul 22, 2021

Jan 23, 2024

SHIM, SUN, MI

VICE PRESIDENT

yes

01/2007

Jan 17, 2012

Jan 23, 2024

MASON & ASSOCIATES, INC.

Corporation

01/2014

Jan 15, 2015

Jan 23, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 29, 2026

$829M

$708M

n/a

2024

Jan 25, 2025

$631M

$555M

n/a

2023

Jan 23, 2024

$540M

$475M

n/a

2022

Jan 27, 2023

$476M

$411M

n/a

2021

Jan 28, 2022

$513M

$438M

n/a

2020

Dec 18, 2020

$422M

$363M

n/a

2019

Jan 15, 2020

$378M

$333M

n/a

2018

Jan 23, 2019

$316M

$289M

n/a

2017

Jan 29, 2018

$330M

$282M

n/a

2016

Dec 5, 2016

$224M

$187M

n/a

2015

Jan 29, 2016

$227M

$2.0M

n/a

2014

Jan 15, 2015

$229M

n/a

2013

Jan 28, 2014

$198M

n/a

2012

Jan 15, 2013

$135M

n/a

2011

Jan 17, 2012

$104M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$829M

$631M

31.3%

$476M

20.3%