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.

Advisor moves

Departures from Assetmark, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Jacob CuenyAssetmark, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseSep 7, 2021Sep 19, 2022 (377 d)
Colin KremerAssetmark, Inc. BD affiliatedStifel, Nicolaus & Company, Incorporated national BDAffiliated broker-dealer or bank to anotherSep 1, 2021Mar 5, 2026 (1646 d)
Henry Robert SolukAssetmark, Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherJul 28, 2021Sep 22, 2023 (786 d)
David Harrison GoodlessAssetmark, Inc. BD affiliatedRBC Rochdale, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 25, 2021Apr 15, 2021
Mark Lester P ReyesAssetmark, Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseDec 21, 2020Jan 20, 2021
Christopher BasqueAssetmark, Inc. BD affiliatedTriad Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 14, 2020Mar 2, 2022 (443 d)
Michael Vincent MortellaroAssetmark, Inc. BD affiliatedSimplicity Solutions, LLC asset managerOtherNov 20, 2020Jul 13, 2021 (235 d)
Joon Chol HyonAssetmark, Inc. BD affiliatedYayati Asset Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserNov 20, 2020Apr 17, 2025 (1609 d)
Gerald Keith GirandAssetmark, Inc. BD affiliatedLear Investment Management mixed wealthAffiliated broker-dealer or bank to independent RIANov 12, 2020Mar 6, 2023 (844 d)
Eric Robert SchreinerAssetmark, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 12, 2020Jul 19, 2023 (979 d)
Corbin Peter BriggsAssetmark, Inc. BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherSep 22, 2020Sep 21, 2020
Isis Lashae WaitesAssetmark, Inc. BD affiliatedPolaris Wealth Management, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 10, 2020Jul 15, 2020 (35 d)
Adam Louis SchwartzAssetmark, Inc. BD affiliatedWoodbury Financial Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 4, 2019Dec 2, 2019
Brett A GreenfieldAssetmark, Inc. BD affiliatedInvestment Research Partners asset managerOtherNov 13, 2019Nov 21, 2019
Christina PachecoAssetmark, Inc. BD affiliatedCetera Advisor Networks LLC BD affiliatedAffiliated broker-dealer or bank to anotherSep 23, 2019Oct 21, 2019
Ariel Nicole KauffmanAssetmark, Inc. BD affiliatedSolitude Financial Services, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 5, 2019Mar 5, 2021 (547 d)
Jerrod FosterAssetmark, Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseMay 20, 2019Oct 12, 2020 (511 d)
Andrew Paul KirchnerAssetmark, Inc. BD affiliatedElevation Wealth Partners, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 12, 2019Jan 11, 2021 (640 d)
Tigran Hovhannes MuradyanAssetmark, Inc. BD affiliatedJ. W. Cole Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 10, 2018Nov 16, 2020 (707 d)
Richard Zachary SeitzAssetmark, Inc. BD affiliatedOrion Portfolio Solutions, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 26, 2018Feb 21, 2019 (87 d)
Ruben TarkhanyanAssetmark, Inc. BD affiliatedBancwest Investment Services, Inc. (Bwis) BD affiliatedAffiliated broker-dealer or bank to anotherAug 30, 2018Apr 4, 2019 (217 d)
Meghan M McguireAssetmark, Inc. BD affiliatedTransamerica Retirement Advisors, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJul 16, 2018Aug 2, 2018
Todd Philip DagostinoAssetmark, Inc. BD affiliatedYour Private Client Group, Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 5, 2018Mar 13, 2018
Monica Schmidt StempelAssetmark, Inc. BD affiliatedOne Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 14, 2018May 23, 2018
Art Steven Martinez FederisAssetmark, Inc. otherChoreo, LLC independent RIAOtherFeb 13, 2018Jan 15, 2025 (2528 d)
Elvis MedicaAssetmark, Inc. otherCetera Advisor Networks LLC otherOtherJan 29, 2018Feb 28, 2018
Brian Kenneth PotokAssetmark, Inc. otherVoya Financial Advisors, Inc. otherOtherNov 16, 2017Feb 27, 2018 (103 d)
Brian Donovan ClearyAssetmark, Inc. otherRBC Capital Markets, LLC national BDOtherJul 10, 2017Jul 18, 2017
Sean C BrooksAssetmark, Inc. otherLwi Financial Inc. otherOtherJun 16, 2017Jul 5, 2017
John S. BattagliaAssetmark, Inc. otherH. Beck, Inc. otherOtherJan 4, 2017Jan 3, 2017
Joseph J MooneyAssetmark, Inc. otherFreedom Investment Management, Inc. otherOtherNov 30, 2016Jun 29, 2017 (211 d)
David Morgan SchubachAssetmark, Inc. otherNew Frontier Advisors, LLC otherOtherNov 22, 2016Apr 12, 2017 (141 d)
David John HutchinsonAssetmark, Inc. otherRBC Capital Markets, LLC national BDOtherNov 17, 2016Nov 15, 2017 (363 d)
Anthony Joel GonzalesAssetmark, Inc. otherGlobal Financial Private Capital, Inc. otherOtherNov 17, 2016Mar 30, 2017 (133 d)
Michael Christopher DipieroAssetmark, Inc. otherHornor, Townsend & Kent, LLC BD affiliatedOtherNov 17, 2016Nov 17, 2020 (1461 d)
Jeffrey JosephAssetmark, Inc. otherAlpha Cubed Investments, LLC otherOtherOct 18, 2016Nov 28, 2016 (41 d)
Adam Gregory Mark HartrumAssetmark, Inc. otherSecurities America Advisors, Inc. otherOtherOct 13, 2016Sep 19, 2016
David Aaron KressnerAssetmark, Inc. otherAltfest Personal Wealth Management independent RIAOtherJan 27, 2016Aug 5, 2021 (2017 d)
Tristan Michael BoltonAssetmark, Inc. otherLPL Financial LLC otherOtherJan 15, 2016Sep 19, 2016 (248 d)
Daniel Patrick OtooleAssetmark, Inc. otherHorizon Investments LLC otherOtherNov 5, 2015Nov 24, 2015
Jessi Ringo AndrewsAssetmark, Inc. otherSei Investments Management Corp otherOtherAug 4, 2015Aug 17, 2015
Erica Jan WeiserAssetmark, Inc. otherCetera Advisor Networks LLC otherOtherJun 23, 2015Jul 17, 2015
Kimberlee Laura ClarkAssetmark, Inc. otherAmeriprise Financial Services, LLC national BDOtherApr 2, 2015Sep 20, 2016 (537 d)
Christopher Lee KnoxAssetmark, Inc. otherWells Fargo Advisors wirehouseOtherOct 16, 2014Oct 17, 2014
Patrick John GaraAssetmark, Inc. otherPnc Wealth Management otherOtherOct 13, 2014Nov 10, 2014
James John BulgerAssetmark, Inc. otherBeaumont Financial Partners LLC otherOtherOct 7, 2014Dec 15, 2014 (69 d)
Mark A RuheAssetmark, Inc. otherJ. W. Cole Advisors, Inc. otherOtherOct 7, 2014Sep 14, 2015 (342 d)
Wes TaylorAssetmark, Inc. otherBeaumont Financial Partners LLC otherOtherOct 7, 2014Jan 26, 2015 (111 d)
Christopher Sean McquillanAssetmark, Inc. otherPersonal Capital Advisors Corporation otherOtherOct 7, 2014Oct 14, 2014
Paul Bernard CooneyAssetmark, Inc. otherThe Patriot Financial Group, LLC independent RIAOtherAug 5, 2014Jan 3, 2024 (3438 d)
James SabbatiniAssetmark, Inc. otherRussell Investments otherOtherMay 23, 2014May 15, 2014
Shannon M GallopAssetmark, Inc. otherE*Trade Capital Management, LLC otherOtherMay 6, 2014Aug 4, 2016 (821 d)
Dorian Michael GradyAssetmark, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 6, 2014Aug 15, 2014 (101 d)
Gregory J WilsonAssetmark, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 28, 2014Aug 20, 2014 (173 d)
Patrick Thomas SlackAssetmark, Inc. otherStadion Money Management, LLC otherOtherNov 25, 2013Jan 31, 2014 (67 d)
Trenton SchraderAssetmark, Inc. otherCuna Brokerage Services, Inc. otherOtherNov 14, 2013Dec 10, 2013
Elice Jihyeon LeeAssetmark, Inc. otherCuna Brokerage Services, Inc. otherOtherOct 9, 2013Nov 19, 2013 (41 d)
Ana TeperAssetmark, Inc. otherThe Sterling Group otherOtherSep 23, 2013Feb 5, 2014 (135 d)
Scott Marshall MabeeAssetmark, Inc. otherRobert W. Baird & Co. Incorporated otherOtherSep 16, 2013Oct 16, 2013
Stuart ScibettaAssetmark, Inc. otherWells Fargo Advisors wirehouseOtherJun 7, 2013Jul 17, 2013 (40 d)
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157 moves match.