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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

BRADLEY ALLEN

Advisor at ASSETMARK, INC.

CONCORD, CA

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Search this name across graphsid dfx:ria:da5e1830-e0de-f1a0-7d97-9e7594e9d33b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASSETMARK, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 25, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 25, 2005
First registration: Feb 5, 2007
Dual registered: yes, broker-dealer
Other names: BRADLEY E ALLEN
IAPD individual key: 3239295

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASSETMARK, INC.	Bd affiliated wealth	Jul 30, 2020	n/a	yes	CONCORD, CA	Current employment
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Dec 22, 2016	Jul 27, 2020	no	CHARLOTTE, NC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 30, 2008	Jun 8, 2016	no	ENGLEWOOD, CO\|SAN FRANCISCO, CA\|ENGLEWOOD, CO\|ENGLEWOOD, CO	Previous registration
EDWARD JONES	National bd RIA	Feb 5, 2007	Jan 31, 2008	no	ST. LOUIS, MO\|Maryland Heights, MO\|ST LOUIS, MO\|FOUNTAIN VALLEY, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLSPRING FUNDS MANAGEMENT, LLC	ASSETMARK, INC.	Jul 27, 2020	Jul 30, 2020	3	Firm change	Other
CHARLES SCHWAB & CO., INC.	ALLSPRING FUNDS MANAGEMENT, LLC	Jun 8, 2016	Dec 22, 2016	197	Firm change	Other
EDWARD JONES	CHARLES SCHWAB & CO., INC.	Jan 31, 2008	Jul 30, 2008	181	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ ASSETMARK, INC.Registered adviserregistration: current employment
Jul 30, 2020 to presentfactForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 22, 2016 to Jul 27, 2020factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 30, 2008 to Jun 8, 2016factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 5, 2007 to Jan 31, 2008factForm ADV

Dated events

No dated event names this entity yet.