MASON INVESTMENT ADVISORY SERVICES INC of RESTON, VA is an SEC-registered investment adviser (CRD 111113). Regulatory assets under management: $15.7B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| William Noyes Mason | CHAIRMAN; SHAREHOLDER | — |
| Scott Stanley George | CO-CHIEF EXECUTIVE OFFICER; PRESIDENT | — |
| John Murphy Delaney | CHIEF COMPLIANCE OFFICER | — |
| Christopher Lee Schreiner | CO-CHIEF EXECUTIVE OFFICER | — |
| George Michael Gouin | CHIEF OPERATING OFFICER | — |
| MASON WILLIAM NOYES | CHAIRMAN; PRESIDENT; SHAREHOLDER | — |
| GEORGE SCOTT STANLEY | CO-CHIEF EXECUTIVE OFFICER; PRESIDENT; VICE-PRESIDENT | — |
| BIRCHFIELD JUDITH LYNN | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| SCHREINER CHRISTOPHER LEE | CHIEF OPERATING OFFICER; CO-CHIEF EXECUTIVE OFFICER | — |
| Delaney John Murphy | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-17 | regulatory | BEGINNING DECEMBER 31, 2019, THROUGH SEPT. 30, 2023, THE FIRM HAD INVESTMENT DISCRETION OVER AT LEAST $100 MILLION OF REPORTABLE SECURITIES AND FAILED TO FILE QUARTERLY FORMS 13F. | Final | $525K |
| 2021-04-15 | regulatory | THE SEC ALLEGED THAT AT TIMES DURING THE PERIOD FROM FEBRUARY 1, 2014, THROUGH SEPTEMBER 30, 2016, MIAS PURCHASED, RECOMMENDED, OR HELD FOR CERTAIN ADVISORY CLIENTS' MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES WHEN SHARES OF THE SAME FUNDS WITHOUT 12B-1 FEES WERE AVAILABLE. MIAS'S AFFILIATE BR… | Final | $150K |