9AT: FIRST MASON FINANCIAL, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 05/03/2011
Other registrations (1)	Ohio, Terminated, 05/13/2011
ADV Location	MEDINA, OH, United States
Contact Info	330 xxxxxxx
Websites

AUM^*	185,661,618 33%
of that, discretionary	185,661,618 33%
Number of Employees	3
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	173,840 -16%
% High Net Worth	16.97% 71%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting services

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser DAVIS CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM259.0m	#Funds-
Adviser RETIREMENT CAPITAL STRATEGIES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM305.2m	#Funds-
Adviser U.S. WEALTH GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM181.5m	#Funds-
Adviser HIBERNIA WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM372.5m	#Funds-
Adviser INSIGHT WEALTH STRATEGIES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser RD LEWIS WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM256.8m	#Funds-
Adviser GOOGINS ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM501.0m	#Funds-
Adviser STEADY RETURNS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM159.8m	#Funds-
Adviser IMPRINT WEALTH LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM131.6m	#Funds-
Adviser COMPASS FINANCIAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM893.8m	#Funds-

Brochure Summary

Overview

First Mason Financial, LLC (“FMF” or the “Firm”) is an SEC-registered investment advisory firm that has been operating since 2007. The sole owner of FMF is Daniel J. Mason (“Mr. Mason”). FMF principally provides investment management and consulting services on behalf of its clients. As a courtesy, FMF may also provide certain individual clients with limited financial planning and consulting services but is not obligated to do so. Prior to rendering investment advice on behalf of clients, the Firm requires that clients enter into an investment management agreement (“IMA”) with FMF. While this brochure generally describes the business of FMF, certain sections also discuss the activities of its Supervised Persons, which refer to the Firm’s officers, partners, directors (or other persons occupying a similar status or performing similar functions), employees, or any other persons who provide investment advice on FMF’s behalf and who are subject to FMF’s supervision or control. Investment Management Services FMF offers discretionary investment management services on behalf of clients. As of December 31, 2023, FMF managed $139,885,996, all of which was managed on a discretionary basis. When rendering investment management services on behalf of clients, FMF analyzes, constructs, and manages customized investment portfolios based on the particular goals of each client in a manner that takes into account information related to the client’s investment

objectives, income needs, liquidity requirements, investment time horizon, tax considerations, risk tolerance, existing investments, and other factors, as applicable. FMF principally invests client assets in individual equity and debt securities, mutual funds, and exchange-traded funds (“ETFs”). In certain circumstances, client assets can also be invested in derivative instruments, real estate investment trusts, and other types of securities. Where appropriate, the Firm also provides advice about any type of legacy position or other investment held in client portfolios. Clients can engage FMF to manage and/or advise on certain investment products that are not maintained at their primary custodian, such as variable life insurance, annuity contracts, assets held in employer-sponsored retirement plans, and qualified tuition plans (i.e., 529 plans). In these situations, FMF directs or recommends the allocation of client assets among the various investment options available with the product. These assets are generally maintained at the underwriting insurance company or the custodian designated by the product’s provider. Retirement Plan Consulting Services FMF provides investment plan consulting services to retirement plans, including defined contribution plans. Such services include, as appropriate, plan design, review and recommendation of investment options and service providers, and education for plan participants.

FIRST MASON FINANCIAL, LLC

FIRST MASON FINANCIAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

FIRST MASON FINANCIAL, LLC FIRST MASON FINANCIAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

FIRST MASON FINANCIAL, LLC

FIRST MASON FINANCIAL, LLC