DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Assetmark, Inc.
Latest filing Sep 14, 2026
First filing on the tape Jan 6, 2012 · 52 filings
SEC status approved since Mar 8, 1999
RAUM
$92B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$85B individuals and HNW
Advisors
218
registered through the firm on IAPD
RAUM per advisor
$421M
derived; firm RAUM over IAPD count
Employees
859
269 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$92B as of May 18, 2026
Mar 29, 2012$15B then
HNW client RAUM$22B as of May 18, 2026
Mar 28, 2018$5.7B then
State-registered IARs (5.B.3)195 as of May 18, 2026
Mar 28, 201397 then
Employees (5.A)859 as of May 18, 2026
Mar 28, 2013318 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 179 to 195offices 5 to 4
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $421MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,055derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $201,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.9derivedItem 5.A over advisors
- Advisors per office
- 43.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- $92BreportedItem 5.I
- Custody
- $76B, 394,065 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$63B69%
- High-net-worth individuals$22B24%
- Pension and profit-sharing plans$3.2B3.5%
- Corporations and businesses$2.0B2.1%
- Charitable organizations$910M1.0%
- Insurance companies$510M0.6%
- Individual clients
- 436,288reported
- HNW clients
- 11,731reported
- Pension plan clients
- 4,797reported
- Charitable clients
- 1,649reported
- Accounts
- 456,453reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $76B for 394,065 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=361.0 bank_owner=falsederived
Advisors registered through the firm
218 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Frank Samuel Martin Roe | Chicago, Il | Apr 30, 2008 | 20 y | 1 |
| Alexe Dimitrios Rodopoulos | Atlanta, Ga | Aug 6, 2008 | 21 y | 1 |
| Bradford Paul Wheeler | Concord, Ca | Aug 19, 2008 | 38 y | 1 |
| Michael Joel Abelson | Concord, Ca | Sep 15, 2008 | 30 y | 0 |
| Anthony Joseph Dirito | Plymouth, Ma | Nov 13, 2008 | 24 y | 0 |
| Anthony Nghia Huynh | Concord, Ca | Mar 2, 2009 | 18 y | 0 |
| Alicia Ann Reed | Maricopa, Az | Jun 18, 2009 | 23 y | 1 |
| Jason Elliot Cadell | Concord, Ca | Jan 26, 2010 | 27 y | 1 |
| Norman Kang Pia | Ventura, Ca | Feb 15, 2010 | 23 y | 0 |
| Shaun Michael Clements | Lake Zurich, Il | Jul 22, 2010 | 19 y | 1 |
| Jeffrey Scott Bridge | Highlands Ranch, Co | Jun 16, 2011 | 27 y | 1 |
| Gretchen Beth Golembewski | Centerville, Ma | Sep 7, 2011 | 30 y | 1 |
| Jean Noh Bolton | Concord, Ca | Jan 10, 2012 | 22 y | 0 |
| Faith Robin Chaffee | Concord, Ca | Jul 24, 2012 | 17 y | 1 |
| Dennis Joseph Keeley | Concord, Ca | Jan 15, 2013 | 19 y | 1 |
| Philip James Corson | Fort Mill, Sc | Jul 30, 2013 | 15 y | 3 |
| Brandon Georges Laborde | Ojai, Ca | Sep 12, 2013 | 13 y | 0 |
| Brian Paul Fitzgerald | Studio City, Ca | Nov 8, 2013 | 19 y | 0 |
| Nick Oron Lapin | Concord, Ca | Mar 10, 2014 | 13 y | 0 |
| Keith David Stempel | Concord, Ca | Aug 14, 2014 | 26 y | 2 |
| Francesco Giuseppe Maggiora | Austin, Tx | Aug 14, 2014 | 26 y | 2 |
| Samuel Eugene Badgley | Raleigh, Nc | Jan 13, 2015 | 36 y | 3 |
| Nora Gillis | Pittstown, Nj | Aug 25, 2015 | 14 y | 0 |
| Richard F Repa | Chicago, Il | Oct 30, 2015 | 14 y | 0 |
| Jeffrey Peyton Wildermuth | State College, Pa | Mar 15, 2016 | 27 y | 1 |
| Michael Kim | Concord, Ca | Mar 30, 2016 | 27 y | 0 |
| Matt Schamp | Irvine, Ca | Jun 13, 2016 | 10 y | 0 |
| John Allen Buchanan | Oakton, Va | Nov 17, 2016 | 26 y | 2 |
| Dylan Alexander Schlott | Concord, Ca | Nov 23, 2016 | 25 y | 1 |
| Patrick John Gara | Concord, Ca | Nov 23, 2016 | 22 y | 3 |
| Chanachart Chareonchump | Concord, Ca | Nov 28, 2016 | 22 y | 1 |
| Michael Aaron Jones | Concord, Ca | Dec 22, 2016 | 18 y | 2 |
| Jennifer Linda Adams | Waddell, Az | Jun 9, 2017 | 10 y | 1 |
| Phillip E Legorreta | Concord, Ca | Jan 2, 2018 | 19 y | 1 |
| Armen Attallah | Concord, Ca | Feb 23, 2018 | 13 y | 0 |
| Brian David Reketis | Concord, Ca | Mar 19, 2018 | 12 y | 0 |
| Brandon John Nachman | Phoenix, Az | Apr 19, 2018 | 18 y | 1 |
| Patrick E Ward | Lake Forest, Il | Jun 1, 2018 | 10 y | 1 |
| Michael Joseph Ferguson | Gilbert, Az | Nov 26, 2018 | 18 y | 2 |
| Ann Huchingson | Concord, Ca | Nov 28, 2018 | 10 y | 1 |
Advisor movement
10 left, 29 joined in 12 months
net +19 in 12 months3 left in 90 days8 joined in 90 daysdeparture rate 4.6% of current headcount33 left over 36 months
Left, latest
- Patricia Lynn Brady to Edelman Financial EnginesAug 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- Austin Harold Lewis to Wealth Enhancement Advisory Services, LLCJul 10, 2026 · Affiliated broker-dealer or bank to another
- Julio I Bedolla to Concurrent Investment Advisors, LLCJun 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- Daniel Christopher Beeson to Osaic Wealth, Inc.Feb 17, 2026 · Affiliated broker-dealer or bank to another
- Vincent Ronald Gimarelli to Sowell ManagementFeb 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Grant Michael Lockwood to Osaic Wealth, Inc.Feb 4, 2026 · Affiliated broker-dealer or bank to another
- Patrick Edward Newman to Wells Fargo AdvisorsJan 27, 2026 · Affiliated broker-dealer or bank to wirehouse
- Christian M Oconnor to Envestnet PmcOct 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Z. Curtis to Ameriprise Financial Services, LLCOct 8, 2025 · Affiliated broker-dealer or bank to another
- Patty Ann Miller to Ascensus Investment Advisors, LLCOct 8, 2025 · Other
- Sharlyn Yap Leh to Orion Portfolio Solutions, LLCAug 13, 2025 · Affiliated broker-dealer or bank to another
- Nicholas Poppe to Thrivent Investment Management Inc.Jul 21, 2025 · Affiliated broker-dealer or bank to another
- John Armistead Tyler Browning to Kestra Advisory Services, LLCJul 16, 2025 · Affiliated broker-dealer or bank to another
- Antonio Angel Zapata to Charles Schwab & Co., Inc.Jul 16, 2025 · Affiliated broker-dealer or bank to another
- Benjamin Maniscalco to Orion Portfolio Solutions, LLCJun 24, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Geraldo Joshua Wingate from Edward JonesJul 30, 2026 · Affiliated broker-dealer or bank to another
- Kevin Patrick Mooney from Ae Wealth Management, LLCJul 21, 2026 · Affiliated broker-dealer or bank to another
- David Liu Sun from Sterling Wealth Management, Inc.Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- Philip James Corson from Efficient AdvisorsJul 15, 2026 · RIA to affiliated broker-dealer or bank
- Samuel Eugene Badgley from Efficient AdvisorsJul 15, 2026 · RIA to affiliated broker-dealer or bank
- Kevin Lee Pollard from LPL Financial LLCJul 14, 2026 · Affiliated broker-dealer or bank to another
- Kirsten Nicole Frosch from Mesirow Financial Investment Management, Inc.Jul 9, 2026 · RIA to affiliated broker-dealer or bank
- Steven Bradford Miller from Efficient AdvisorsJun 24, 2026 · RIA to affiliated broker-dealer or bank
- Scott Daniel Mcquillen from Usi Securities, Inc.Jun 16, 2026 · Other
- Jhon Khalil Khan from Efficient AdvisorsJun 16, 2026 · RIA to affiliated broker-dealer or bank
- Sabrina Ann Williams from Efficient AdvisorsJun 9, 2026 · RIA to affiliated broker-dealer or bank
- John David Resnick from Efficient AdvisorsJun 8, 2026 · RIA to affiliated broker-dealer or bank
- David Anthony Tisza from Allworth Financial, L.P.Apr 30, 2026 · RIA to affiliated broker-dealer or bank
- Alexander Louis Caiola from Morgan StanleyApr 16, 2026 · Wirehouse to affiliated broker-dealer or bank
- Leesa Jane Nichols from Hodges Capital Management IncApr 15, 2026 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Osaic Wealth, Inc.Feb 4, 2026 · Concord, Ca
- 5 joined from Efficient AdvisorsJun 1, 2026 · Cincinnati, Oh · Firm absorbed
- 4 joined from Global Financial Private Capital, Inc.Aug 14, 2020 · Sarasota, Fl · Firm absorbed
- 2 joined from Global Financial Private Capital, Inc.Dec 17, 2019 · Sarasota, Fl
- 2 joined from Global Financial Private Capital, Inc.Jun 7, 2019 · Sarasota, Fl
- 2 joined from National Planning Corporation ("Npc Of America" In Fl & Ny)Feb 13, 2018 · Los Angeles, Ca
- 3 joined from Aris Wealth Services IncOct 1, 2015 · State College, Pa · Firm absorbed
- 4 joined from Curian Capital, LLCSep 15, 2015 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Fyke Ted Angus · General Counselcontrolsince 12/2010 · owns less than 5%
- Golveo Claire Blue · Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
- Ellen Carrie Hansen · Chief Operating Officer & Directorcontrolsince 07/2008 · owns less than 5%
- Michael Hyun Kim · Chief Executive Officer, President, Chief Client Officercontrolsince 09/2023 · owns less than 5%
- Henry John Koval · Chief Compliance Officercontrolsince 05/2025 · owns less than 5%
- Lou Maiuri · Chairperson Of The Board & Directorcontrolsince 09/2024 · owns less than 5%
- David Joel Mcnatt · Chief Wealth Solutions Officercontrolsince 05/2021 · owns less than 5%
- Kantilal Mukesh Mehta · Chief Information Officercontrolsince 03/2017 · owns less than 5%
- G. Gary Zyla · Chief Financial Officer & Directorcontrolsince 12/2010 · owns less than 5%
Entity owners
- Assetmark Financial Holdings, · Ownerdirect · owns 75% or more
- Assetmark Financial Holdings, Inc. · Ownerdirect · owns 75% or more
- Gtcr Everest Borrower, LLC · Shareholderindirect · owns 75% or more of Assetmark Financial Holdings, Inc.
- Gtcr Everest Holdings, LLC · Shareholderindirect · owns 75% or more of Gtcr Everest Topco, Inc.
- Gtcr Everest Intermediate, Inc. · Managing Memberindirect · owns 75% or more of Gtcr Everest Borrower, LLC
- Gtcr Everest Topco, Inc. · Shareholderindirect · owns 75% or more of Gtcr Everest Intermediate, Inc.
- Gtcr Fund Xiv/A LP · Memberindirect · owns 25% to 50% of Gtcr Everest Holdings, LLC
- Gtcr Investment Xiv LLC · General Partnerindirect · owns F of Gtcr Partners Xiv/A&C LP
- Gtcr Partners Xiv/A&C LP · General Partnerindirect · owns F of Violet Investors LP
- Gtcr Partners Xiv/A&C LP · General Partnerindirect · owns F of Gtcr Fund Xiv/A LP
- Violet Investors LP · Memberindirect · owns 25% to 50% of Gtcr Everest Holdings, LLC
Related persons
Schedule D 7.A
- Assetmark Brokerage, LLCbroker-dealern
- Assetmark Services, Inc.LP sponsorn
- Assetmark Trust Companycustodiann
- Adhesion Wealth Advisor Solutionsinvestment advisernRAUM $11B
Advisers that list Assetmark, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Concord, Ca · principal | 215 | 54 | 5 | 1 | |
| Chicago, Il | 61 | 20 | 1 | ||
| Phoenix, Az | 29 | 10 | 0 | ||
| Sarasota, Fl | 6 | 0 | 0 | ||
| Charlotte, Nc | 5 | 4 | 0 | ||
| Austin, Tx | 4 | 1 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 | ||
| Centennial, Co | 2 | 0 | 0 | ||
| Crown Point, In | 2 | 0 | 0 | ||
| Glendale, Az | 2 | 1 | 0 | ||
| Highlands Ranch, Co | 2 | 0 | 0 | ||
| Omaha, Ne | 2 | 0 | 0 | ||
| Plymouth, Ma | 2 | 0 | 0 | ||
| Ponte Vedra Beach, Fl | 2 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 0 | ||
| Seattle, Wa | 2 | 1 | 0 | ||
| Tarzana, Ca | 2 | 0 | 0 | ||
| Irvine, Ca | 1 | 0 | 0 | ||
| Encino, Ca | 1 | 0 | 1 | ||
| Mountain View, Ca | 0 | 0 | 0 |
Post-acquisition retention
advisors of absorbed firms still registered here after the move
- Firms absorbed
- 3 since 2015, 1 in 24 monthsderived
- Advisors acquired
- 12derived
- Still registered after 90 days
- 67% of 12derived
- After 180 days
- 29% of 7derived
- After 365 days
- 71% of 7derived
- After 730 days
- 43% of 7derived
- Team lift-outs after
- 0derivedteams that left this firm within two years of an absorption
Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL50 employees
- Phoenix, AZ21 employees
- Encino, CA18 employees
- Sandy Springs, GA
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 14, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-05-18, no on the filing of 2026-09-14peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 14, 2026KOVAL, JOHN, HENRY (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-12-04 and 2026-09-14peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 14, 2026MEHTA, MUKESH, KANTILAL (CHIEF INFORMATION OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 14, 2026BLUE, CLAIRE, GOLVEO (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Advisory activities · 5 to 4May 18, 2026 to Sep 14, 2026
- Financial planning clients · 0 to 0May 18, 2026 to Sep 14, 2026
- Succession · false to unsetMay 18, 2026 to Sep 14, 2026
- Accounts · 410,749 to 456,453Dec 15, 2025 to Mar 27, 2026
- Advisory employees · 244 to 269Dec 15, 2025 to Mar 27, 2026
- BD registered reps · 353 to 361Dec 15, 2025 to Mar 27, 2026
- Charity clients · 1,335 to 1,649Dec 15, 2025 to Mar 27, 2026
- Corporate clients · 1,855 to 1,985Dec 15, 2025 to Mar 27, 2026
- HNW clients · 8,960 to 11,731Dec 15, 2025 to Mar 27, 2026
- Individual clients · 393,482 to 436,288Dec 15, 2025 to Mar 27, 2026
- Pension plan clients · 5,113 to 4,797Dec 15, 2025 to Mar 27, 2026
- Assets in custody · $64B to $76BDec 15, 2025 to Mar 27, 2026
- Employees · 735 to 859Dec 15, 2025 to Mar 27, 2026
- Insurance-licensed employees · 2 to 1Dec 15, 2025 to Mar 27, 2026
- State-registered IARs · 179 to 195Dec 15, 2025 to Mar 27, 2026
- Other offices · 5 to 4Dec 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $76B to $91BDec 15, 2025 to Mar 27, 2026
- HNW RAUM · $17B to $22BDec 15, 2025 to Mar 27, 2026
- Individual RAUM · $54B to $63BDec 15, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.5B to $838MDec 15, 2025 to Mar 27, 2026
- Pension RAUM · $3.2B to $3.2BDec 15, 2025 to Mar 27, 2026
- RAUM · $77B to $92BDec 15, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0May 20, 2025 to Nov 17, 2025
- Accounts · 374,574 to 410,749Dec 4, 2024 to Mar 26, 2025
- Advisory employees · 247 to 244Dec 4, 2024 to Mar 26, 2025
- Advisory activities · 4 to 5Dec 4, 2024 to Mar 26, 2025
- BD registered reps · 366 to 353Dec 4, 2024 to Mar 26, 2025
- Charity clients · 1,228 to 1,335Dec 4, 2024 to Mar 26, 2025
- Corporate clients · 1,767 to 1,855Dec 4, 2024 to Mar 26, 2025
- HNW clients · 6,735 to 8,960Dec 4, 2024 to Mar 26, 2025
- Individual clients · 359,945 to 393,482Dec 4, 2024 to Mar 26, 2025
- Pension plan clients · 4,895 to 5,113Dec 4, 2024 to Mar 26, 2025
- Assets in custody · $55B to $64BDec 4, 2024 to Mar 26, 2025
- Employees · 709 to 735Dec 4, 2024 to Mar 26, 2025
- State-registered IARs · 187 to 179Dec 4, 2024 to Mar 26, 2025
- Other offices · 4 to 5Dec 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $64B to $76BDec 4, 2024 to Mar 26, 2025
- HNW RAUM · $13B to $17BDec 4, 2024 to Mar 26, 2025
- Individual RAUM · $47B to $54BDec 4, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.5B to $1.5BDec 4, 2024 to Mar 26, 2025
Signals
60 dated events
- Patricia Lynn Brady left Assetmark, Inc. for Edelman Financial Engines (registered 2026-08-27)Aug 20, 2026 · Advisor changed firm · fact
- Austin Harold Lewis left Assetmark, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2026-07-06)Jul 10, 2026 · Advisor changed firm · fact
- Julio I Bedolla left Assetmark, Inc. for Concurrent Investment Advisors, Llc (registered 2026-07-03)Jun 24, 2026 · Advisor changed firm · fact
- 4 advisors left Efficient Advisors (Cincinnati, OH) for Assetmark, Inc. on the same dayJun 1, 2026 · Team lift-out · derived
- Vincent Ronald Gimarelli left Assetmark, Inc. for Sowell Management (registered 2026-02-20)Feb 17, 2026 · Advisor changed firm · fact
- Daniel Christopher Beeson left Assetmark, Inc. for Osaic Wealth, Inc. (registered 2026-03-04)Feb 17, 2026 · Advisor changed firm · fact
- Grant Michael Lockwood left Assetmark, Inc. for Osaic Wealth, Inc. (registered 2026-02-02)Feb 4, 2026 · Advisor changed firm · fact
- 2 advisors left Assetmark, Inc. (Concord, CA) for Osaic Wealth, Inc. within 13 daysFeb 4, 2026 · Team lift-out · derived
- Patrick Edward Newman left Assetmark, Inc. for Wells Fargo Advisors (registered 2026-02-19)Jan 27, 2026 · Advisor changed firm · fact
- Christian M Oconnor left Assetmark, Inc. for Envestnet Pmc (registered 2026-07-07)Oct 22, 2025 · Advisor changed firm · fact
- Michael Z. Curtis left Assetmark, Inc. for Ameriprise Financial Services, Llc (registered 2025-10-01)Oct 8, 2025 · Advisor changed firm · fact
- Patty Ann Miller left Assetmark, Inc. for Ascensus Investment Advisors, Llc (registered 2026-04-22)Oct 8, 2025 · Advisor changed firm · fact
- Sharlyn Yap Leh left Assetmark, Inc. for Orion Portfolio Solutions, Llc (registered 2025-11-12)Aug 13, 2025 · Advisor changed firm · fact
- Nicholas Poppe left Assetmark, Inc. for Thrivent Investment Management Inc. (registered 2026-02-10)Jul 21, 2025 · Advisor changed firm · fact
- John Armistead Tyler Browning left Assetmark, Inc. for Kestra Advisory Services, Llc (registered 2025-08-15)Jul 16, 2025 · Advisor changed firm · fact
- Antonio Angel Zapata left Assetmark, Inc. for Charles Schwab & Co., Inc. (registered 2025-08-12)Jul 16, 2025 · Advisor changed firm · fact
- Benjamin Maniscalco left Assetmark, Inc. for Orion Portfolio Solutions, Llc (registered 2025-07-28)Jun 24, 2025 · Advisor changed firm · fact
- Charles Stephon Coleman left Assetmark, Inc. for Lpl Financial Llc (registered 2025-05-14)Apr 24, 2025 · Advisor changed firm · fact
- Brian P. Mccarthy left Assetmark, Inc. for J.P. Morgan Securities Llc (registered 2025-12-02)Apr 2, 2025 · Advisor changed firm · fact
- Collin Christopher Zines left Assetmark, Inc. for Stephenson And Company, Inc. (registered 2025-04-21)Apr 2, 2025 · Advisor changed firm · fact
- Matthew Schuster left Assetmark, Inc. for Valmark Advisers, Inc. (registered 2025-05-27)Jan 21, 2025 · Advisor changed firm · fact
- Brian Robert Carlson left Assetmark, Inc. for Creative Financial Designs, Inc. (registered 2026-07-02)Jan 6, 2025 · Advisor changed firm · fact
- Donald Steven Garduno left Assetmark, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-05-02)Dec 18, 2024 · Advisor changed firm · fact
- Michael D Heavey left Assetmark, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-03-07)Dec 5, 2024 · Advisor changed firm · fact
- Lou Maiuri (Chairman Of The Board & Director) appeared on Schedule A of Assetmark, Inc.Dec 4, 2024 · Control person joined · fact
- Robert Paul Vetti left Assetmark, Inc. for Gerber Kawasaki Wealth & Investment Management (registered 2025-05-21)Sep 25, 2024 · Advisor changed firm · fact
- Trenton James Grens left Assetmark, Inc. for Brookstone Capital Management Llc (registered 2026-04-07)Sep 25, 2024 · Advisor changed firm · fact
- Thomas Edward Ryan left Assetmark, Inc. for Cetera Investment Advisers Llc (registered 2025-06-10)Aug 21, 2024 · Advisor changed firm · fact
- Trevor Burlison left Assetmark, Inc. for Raymond James Investment Management (registered 2026-06-08)Jul 23, 2024 · Advisor changed firm · fact
- Samuel Solomon Springberg left Assetmark, Inc. for Osaic Wealth, Inc. (registered 2024-07-17)Jun 25, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY-BETA/40087reportedpublic record, Form ADV, Sep 17, 2026
- Website
- ASSETMARK.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-664-5345reportedpublic record, Form ADV, Sep 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $421Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026