Overview
A. Description of the Advisory Firm
This firm has been in business since September 15, 2009, and the principal owner is
Samuel Arthur Mason.
B. Types of Advisory Services
S.A. Mason LLC (hereinafter “SAM”) offers the following services to advisory clients:
Investment Management Services
SAM offers ongoing portfolio management services based on the individual goals,
objectives, time horizon, and risk tolerance of each client. SAM creates an Investment
Policy Statement for each client, which outlines the client’s current situation (income, tax
levels, and risk tolerance levels) and then constructs a plan (the Investment Policy
Statement) to aid in the selection of a portfolio that matches each client’s specific situation.
Investment Management Supervisory Services include, but are not limited to, the
following:
• Investment strategy • Personal investment policy
• Asset allocation • Asset selection
• Risk tolerance • Regular portfolio monitoring
SAM evaluates the current investments of each client with respect to their risk tolerance
levels and time horizon. SAM will request discretionary authority from clients in order
to select securities and execute transactions without permission from the client prior to
each transaction. Risk tolerance levels are documented in the Investment Policy
Statement, which is given to each client.
Financial Planning
Financial plans and financial planning may include, statements of net worth, projections
of cash flow, income tax projections, life insurance summary and estate document
analysis.
These services are based on fixed fees or hourly fees and the final fee structure
is documented in Exhibit II of the Financial Planning Agreement.
Services Limited to Specific Types of Investments
SAM limits its investment advice and/or money management to bonds, equities, mutual
funds, fixed income, debt securities, ETFs, hedge funds, hedge fund funds of funds, REITs,
private placements, options, and government securities. SAM may use other securities
as well to help diversify a portfolio when applicable.
C. Client Tailored Services and Client Imposed Restrictions
SAM offers the same suite of services to all of its clients. However, specific client financial
plans and their implementation are dependent upon the client Investment Policy
Statement which outlines each client’s current situation (income, tax levels, and risk
tolerance levels) and is used to construct a client specific plan to aid in the selection of a
portfolio that matches restrictions, needs, and targets.
Clients may impose restrictions in investing in certain securities or types of securities in
accordance with their values or beliefs. However, if the restrictions prevent SAM from
properly servicing the client account, or if the restrictions would require SAM to deviate
from its standard suite of services, SAM reserves the right to end the relationship.
D. Wrap Fee Programs
SAM does not participate in any wrap fee programs.
E. Amounts Under Management
SAM has the following assets under management:
Discretionary Amounts: Non-discretionary Amounts: Date Calculated:
/ $ 297,318,233.00 December 2023