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.

Broker-dealer affiliated wealth managerConcord, CaliforniaCRD 109018SEC 801-56323website IAPD

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

beyond the principal office

Private funds

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

All 218 advisors at Assetmark, Inc.

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 Engines
Aug 20, 2026 · Affiliated broker-dealer or bank to independent RIA
Austin Harold Lewis to Wealth Enhancement Advisory Services, LLC
Jul 10, 2026 · Affiliated broker-dealer or bank to another
Julio I Bedolla to Concurrent Investment Advisors, LLC
Jun 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 Management
Feb 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 Advisors
Jan 27, 2026 · Affiliated broker-dealer or bank to wirehouse
Christian M Oconnor to Envestnet Pmc
Oct 22, 2025 · Affiliated broker-dealer or bank to independent RIA
Michael Z. Curtis to Ameriprise Financial Services, LLC
Oct 8, 2025 · Affiliated broker-dealer or bank to another
Patty Ann Miller to Ascensus Investment Advisors, LLC
Oct 8, 2025 · Other
Sharlyn Yap Leh to Orion Portfolio Solutions, LLC
Aug 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, LLC
Jul 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, LLC
Jun 24, 2025 · Affiliated broker-dealer or bank to another

Joined, latest

Geraldo Joshua Wingate from Edward Jones
Jul 30, 2026 · Affiliated broker-dealer or bank to another
Kevin Patrick Mooney from Ae Wealth Management, LLC
Jul 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 Advisors
Jul 15, 2026 · RIA to affiliated broker-dealer or bank
Samuel Eugene Badgley from Efficient Advisors
Jul 15, 2026 · RIA to affiliated broker-dealer or bank
Kevin Lee Pollard from LPL Financial LLC
Jul 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 Advisors
Jun 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 Advisors
Jun 16, 2026 · RIA to affiliated broker-dealer or bank
Sabrina Ann Williams from Efficient Advisors
Jun 9, 2026 · RIA to affiliated broker-dealer or bank
John David Resnick from Efficient Advisors
Jun 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 Stanley
Apr 16, 2026 · Wirehouse to affiliated broker-dealer or bank
Leesa Jane Nichols from Hodges Capital Management Inc
Apr 15, 2026 · RIA to affiliated broker-dealer or bank

Every departure Every arrival

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 Advisors
Jun 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 Inc
Oct 1, 2015 · State College, Pa · Firm absorbed
4 joined from Curian Capital, LLC
Sep 15, 2015 · Denver, Co

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Fyke Ted Angus · General Counselcontrol
since 12/2010 · owns less than 5%
Golveo Claire Blue · Chief Compliance Officercontrol
since 04/2014 · owns less than 5%
Ellen Carrie Hansen · Chief Operating Officer & Directorcontrol
since 07/2008 · owns less than 5%
Michael Hyun Kim · Chief Executive Officer, President, Chief Client Officercontrol
since 09/2023 · owns less than 5%
Henry John Koval · Chief Compliance Officercontrol
since 05/2025 · owns less than 5%
Lou Maiuri · Chairperson Of The Board & Directorcontrol
since 09/2024 · owns less than 5%
David Joel Mcnatt · Chief Wealth Solutions Officercontrol
since 05/2021 · owns less than 5%
Kantilal Mukesh Mehta · Chief Information Officercontrol
since 03/2017 · owns less than 5%
G. Gary Zyla · Chief Financial Officer & Directorcontrol
since 12/2010 · owns less than 5%

Entity owners

Assetmark Financial Holdings, · Owner
direct · owns 75% or more
Assetmark Financial Holdings, Inc. · Owner
direct · owns 75% or more
Gtcr Everest Borrower, LLC · Shareholder
indirect · owns 75% or more of Assetmark Financial Holdings, Inc.
Gtcr Everest Holdings, LLC · Shareholder
indirect · owns 75% or more of Gtcr Everest Topco, Inc.
Gtcr Everest Intermediate, Inc. · Managing Member
indirect · owns 75% or more of Gtcr Everest Borrower, LLC
Gtcr Everest Topco, Inc. · Shareholder
indirect · owns 75% or more of Gtcr Everest Intermediate, Inc.
Gtcr Fund Xiv/A LP · Member
indirect · owns 25% to 50% of Gtcr Everest Holdings, LLC
Gtcr Investment Xiv LLC · General Partner
indirect · owns F of Gtcr Partners Xiv/A&C LP
Gtcr Partners Xiv/A&C LP · General Partner
indirect · owns F of Violet Investors LP
Gtcr Partners Xiv/A&C LP · General Partner
indirect · owns F of Gtcr Fund Xiv/A LP
Violet Investors LP · Member
indirect · owns 25% to 50% of Gtcr Everest Holdings, LLC

Related persons

Schedule D 7.A

Assetmark Brokerage, LLC
broker-dealern
Assetmark Services, Inc.
LP sponsorn
Assetmark Trust Company
custodiann
Adhesion Wealth Advisor Solutions
investment 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
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

All 28 offices

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, 2026
pension consulting (Item 5.G.6): yes on the filing of 2026-05-18, no on the filing of 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
KOVAL, JOHN, HENRY (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
MEHTA, MUKESH, KANTILAL (CHIEF INFORMATION OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
BLUE, CLAIRE, GOLVEO (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory activities · 5 to 4
May 18, 2026 to Sep 14, 2026
Financial planning clients · 0 to 0
May 18, 2026 to Sep 14, 2026
Succession · false to unset
May 18, 2026 to Sep 14, 2026
Accounts · 410,749 to 456,453
Dec 15, 2025 to Mar 27, 2026
Advisory employees · 244 to 269
Dec 15, 2025 to Mar 27, 2026
BD registered reps · 353 to 361
Dec 15, 2025 to Mar 27, 2026
Charity clients · 1,335 to 1,649
Dec 15, 2025 to Mar 27, 2026
Corporate clients · 1,855 to 1,985
Dec 15, 2025 to Mar 27, 2026
HNW clients · 8,960 to 11,731
Dec 15, 2025 to Mar 27, 2026
Individual clients · 393,482 to 436,288
Dec 15, 2025 to Mar 27, 2026
Pension plan clients · 5,113 to 4,797
Dec 15, 2025 to Mar 27, 2026
Assets in custody · $64B to $76B
Dec 15, 2025 to Mar 27, 2026
Employees · 735 to 859
Dec 15, 2025 to Mar 27, 2026
Insurance-licensed employees · 2 to 1
Dec 15, 2025 to Mar 27, 2026
State-registered IARs · 179 to 195
Dec 15, 2025 to Mar 27, 2026
Other offices · 5 to 4
Dec 15, 2025 to Mar 27, 2026
Discretionary RAUM · $76B to $91B
Dec 15, 2025 to Mar 27, 2026
HNW RAUM · $17B to $22B
Dec 15, 2025 to Mar 27, 2026
Individual RAUM · $54B to $63B
Dec 15, 2025 to Mar 27, 2026
Non-discretionary RAUM · $1.5B to $838M
Dec 15, 2025 to Mar 27, 2026
Pension RAUM · $3.2B to $3.2B
Dec 15, 2025 to Mar 27, 2026
RAUM · $77B to $92B
Dec 15, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
May 20, 2025 to Nov 17, 2025
Accounts · 374,574 to 410,749
Dec 4, 2024 to Mar 26, 2025
Advisory employees · 247 to 244
Dec 4, 2024 to Mar 26, 2025
Advisory activities · 4 to 5
Dec 4, 2024 to Mar 26, 2025
BD registered reps · 366 to 353
Dec 4, 2024 to Mar 26, 2025
Charity clients · 1,228 to 1,335
Dec 4, 2024 to Mar 26, 2025
Corporate clients · 1,767 to 1,855
Dec 4, 2024 to Mar 26, 2025
HNW clients · 6,735 to 8,960
Dec 4, 2024 to Mar 26, 2025
Individual clients · 359,945 to 393,482
Dec 4, 2024 to Mar 26, 2025
Pension plan clients · 4,895 to 5,113
Dec 4, 2024 to Mar 26, 2025
Assets in custody · $55B to $64B
Dec 4, 2024 to Mar 26, 2025
Employees · 709 to 735
Dec 4, 2024 to Mar 26, 2025
State-registered IARs · 187 to 179
Dec 4, 2024 to Mar 26, 2025
Other offices · 4 to 5
Dec 4, 2024 to Mar 26, 2025
Discretionary RAUM · $64B to $76B
Dec 4, 2024 to Mar 26, 2025
HNW RAUM · $13B to $17B
Dec 4, 2024 to Mar 26, 2025
Individual RAUM · $47B to $54B
Dec 4, 2024 to Mar 26, 2025
Non-discretionary RAUM · $1.5B to $1.5B
Dec 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 day
Jun 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 days
Feb 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