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Investment Adviser Firm Summary
CABANA ASSET MANAGEMENT ( CRD # 151418/SEC#:801-108439 )
CABANA ASSET MANAGEMENT, MASON INVESTMENTS, MASON ASSET MANAGEMENT, GCM INVESTMENTS, LLC, CABANA RETIREMENT SOLUTIONS…

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved9/30/2016
ArkansasTerminated10/4/2016
ColoradoTerminated10/5/2016
FloridaTerminated10/4/2016
LouisianaTerminated10/18/2016
TexasTerminated10/4/2016
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama1/28/2022
Alaska1/28/2022
Arizona1/28/2022
Arkansas9/30/2016
California1/12/2017
Colorado9/30/2016
Connecticut1/28/2022
Delaware1/28/2022
District of Columbia1/28/2022
Florida9/23/2021
Georgia9/23/2021
Hawaii1/28/2022
Idaho1/28/2022
Illinois1/28/2022
Indiana1/28/2022
Iowa1/28/2022
Kansas10/4/2016
Kentucky1/28/2022
Louisiana1/28/2022
Maine1/28/2022
Maryland1/28/2022
Massachusetts1/28/2022
Michigan1/28/2022
Minnesota1/28/2022
Mississippi5/19/2017
Missouri1/28/2022
Montana1/28/2022
Nebraska1/28/2022
Nevada1/28/2022
New Hampshire1/28/2022
New Jersey9/28/2021
New Mexico1/28/2022
New York4/13/2017
North Carolina9/23/2021
North Dakota1/28/2022
Ohio1/28/2022
Oklahoma1/28/2022
Oregon1/28/2022
Pennsylvania1/28/2022
Rhode Island1/28/2022
South Carolina1/28/2022
South Dakota1/28/2022
Tennessee9/23/2021
Texas9/30/2016
Utah1/28/2022
Vermont1/28/2022
Virginia9/23/2021
Washington9/23/2021
West Virginia1/28/2022
Wisconsin1/28/2022
Wyoming1/28/2022
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.