DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Mason & Associates, LLC
Latest filing Aug 31, 2026
First filing on the tape Jul 27, 2020 · 23 filings
SEC status approved since Aug 24, 2020
RAUM
$471M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$471M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$471M as of Aug 31, 2026
Mar 18, 2021$237M then
HNW client RAUM$325M as of Aug 31, 2026
Mar 18, 2021$98.1M then
State-registered IARs (5.B.3)7 as of Aug 31, 2026
Mar 18, 20214 then
Employees (5.A)11 as of Aug 31, 2026
Mar 18, 20218 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 5 to 7offices 0 to 7
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $279,408derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 0.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $37.0M, 77 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$325M69%
- Individuals$146M31%
- Individual clients
- 242reported
- HNW clients
- 172reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,687reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.0M for 77 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Michael MasonCertified Financial Planner | Newport News, Va | Sep 1, 2020 | 16 y | 1 |
| Kenneth Tod Mason | Newport News, Va | Sep 4, 2020 | 33 y | 2 |
| Thomas Farrington BlackburnCertified Financial Planner, Personal Financial Specialist | Newport News, Va | Sep 4, 2020 | 14 y | 2 |
| Michael Ray MasonCertified Financial Planner, Chartered Financial Consultant | Newport News, Va | Sep 4, 2020 | 39 y | 2 |
| Benjamin Edward RaikesCertified Financial Planner | Newport News, Va | Feb 15, 2022 | 13 y | 2 |
| Kyle Austin EagleCertified Financial Planner | Rockingham, Va | Jan 12, 2026 | 12 y | 1 |
| Colby Jordan Mank | Newport News, Va | Jun 1, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Colby Jordan Mank from Coppell Advisory Solutions LLCJun 1, 2026 · RIA to RIA
- Kyle Austin Eagle from Pbmares Wealth Management LLCJan 12, 2026 · RIA to RIA
- Benjamin Edward Raikes from Verus Financial PartnersFeb 15, 2022 · RIA to RIA
- Kenneth Tod Mason from Centaurus Financial, Inc.Sep 4, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Thomas Farrington Blackburn from Centaurus Financial, Inc.Sep 4, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Michael Ray Mason from Centaurus Financial, Inc.Sep 4, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- John Michael Mason from Centaurus Financial, Inc.Sep 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Centaurus Financial, Inc.Oct 1, 2020 · Newport News, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael John Mason · Member, President, & Senior Financial Plannercontrolsince 01/2020 · owns 25% to 50%
- Tod Kenneth Mason · Member, Senior Vice President, & Senior Financial Plannercontrolsince 01/2020 · owns 10% to 25%
- Ray Michael Mason · Member, Chief Compliance Officer, Chairman, & Senior Financial Plannercontrolsince 01/2020 · owns 10% to 25%
- Farrington Thomas Blackburn · Member, Vice President, & Senior Financial Plannersince 12/2020 · owns 25% to 50%
- Edward Benjamin Raikes · Member & Senior Financial Plannersince 01/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport News, Va · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Apr 15, 2026 to Jun 1, 2026
- Employees · 10 to 11Apr 15, 2026 to Jun 1, 2026
- State-registered IARs · 6 to 7Apr 15, 2026 to Jun 1, 2026
- Other offices · 6 to 7Apr 15, 2026 to Jun 1, 2026
- Accounts · 1,577 to 1,687Jan 12, 2026 to Mar 11, 2026
- HNW clients · 135 to 172Jan 12, 2026 to Mar 11, 2026
- Individual clients · 271 to 242Jan 12, 2026 to Mar 11, 2026
- Assets in custody · $25.4M to $37.0MJan 12, 2026 to Mar 11, 2026
- Employees · 9 to 10Jan 12, 2026 to Mar 11, 2026
- Other offices · 1 to 6Jan 12, 2026 to Mar 11, 2026
- Discretionary RAUM · $404M to $471MJan 12, 2026 to Mar 11, 2026
- HNW RAUM · $243M to $325MJan 12, 2026 to Mar 11, 2026
- Individual RAUM · $161M to $146MJan 12, 2026 to Mar 11, 2026
- RAUM · $404M to $471MJan 12, 2026 to Mar 11, 2026
- Advisory employees · 5 to 6Nov 17, 2025 to Jan 12, 2026
- Employees · 8 to 9Nov 17, 2025 to Jan 12, 2026
- State-registered IARs · 5 to 6Nov 17, 2025 to Jan 12, 2026
- Other offices · 0 to 1Nov 17, 2025 to Jan 12, 2026
- Financial planning clients · 251-500 to 251-500Mar 13, 2025 to Jun 10, 2025
- Accounts · 1,311 to 1,577Sep 5, 2024 to Mar 13, 2025
- HNW clients · 136 to 135Sep 5, 2024 to Mar 13, 2025
- Individual clients · 242 to 271Sep 5, 2024 to Mar 13, 2025
- Assets in custody · unset to 25399138.0Sep 5, 2024 to Mar 13, 2025
- Custody of client assets · false to trueSep 5, 2024 to Mar 13, 2025
- Employees · 9 to 8Sep 5, 2024 to Mar 13, 2025
- Discretionary RAUM · $319M to $404MSep 5, 2024 to Mar 13, 2025
- HNW RAUM · $179M to $243MSep 5, 2024 to Mar 13, 2025
- Individual RAUM · $140M to $161MSep 5, 2024 to Mar 13, 2025
- RAUM · $319M to $404MSep 5, 2024 to Mar 13, 2025
- Accounts · 1,300 to 1,311Mar 13, 2023 to Jan 26, 2024
- HNW clients · 83 to 136Mar 13, 2023 to Jan 26, 2024
- Individual clients · 295 to 242Mar 13, 2023 to Jan 26, 2024
- Employees · 8 to 9Mar 13, 2023 to Jan 26, 2024
- Discretionary RAUM · $274M to $319MMar 13, 2023 to Jan 26, 2024
- HNW RAUM · $123M to $179MMar 13, 2023 to Jan 26, 2024
- Individual RAUM · $151M to $140MMar 13, 2023 to Jan 26, 2024
- RAUM · $274M to $319MMar 13, 2023 to Jan 26, 2024
- Accounts · 1,329 to 1,300Jan 18, 2023 to Mar 13, 2023
- HNW clients · 108 to 83Jan 18, 2023 to Mar 13, 2023
- Individual clients · 299 to 295Jan 18, 2023 to Mar 13, 2023
Signals
2 dated events
- Mason & Associates, Llc reported 6 offices beyond its principal office, up from 1 (2026-01-12 to 2026-03-11)Mar 11, 2026 · Office count change · derived
- Mason & Associates Llc filed its initial SEC registration (Form ADV)Jul 27, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- masonfp@masonllc.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 757-223-9990reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 757-223-9898reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mason-&-associates-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- masonllc.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (757) 223-9898reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- masonllc.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- masonllc.net/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026