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
Arrivals at 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| David Liu Sun | Sterling Wealth Management, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2026 | Jul 17, 2026 |
| Kirsten Nicole Frosch | Mesirow Financial Investment Management, Inc. mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 23, 2026 | Jul 9, 2026 |
| Kevin Patrick Mooney | Ae Wealth Management, LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jul 21, 2026 |
| John David Resnick | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jun 8, 2026 |
| Steven Bradford Miller | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jun 24, 2026 |
| Samuel Eugene Badgley | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jul 15, 2026 (44 d) |
| Philip James Corson | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jul 15, 2026 (44 d) |
| Sabrina Ann Williams | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jun 9, 2026 |
| Jhon Khalil Khan | Efficient Advisors independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Jun 16, 2026 |
| Kevin Lee Pollard | LPL Financial LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2026 | Jul 14, 2026 (61 d) |
| Scott Daniel Mcquillen | Usi Securities, Inc. no RAUM | Assetmark, Inc. BD affiliated | Other | May 6, 2026 | Jun 16, 2026 (41 d) |
| Michael Bernard Dolan | Strategic Advisers LLC national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 14, 2026 |
| Alexander Louis Caiola | Morgan Stanley wirehouse | Assetmark, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 12, 2026 | Apr 16, 2026 (35 d) |
| Briana-Capri Thadison | Zacks Investment Management, Inc. mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2026 | Feb 17, 2026 |
| Brendan Patrick Mallon | Sei Investments Management Corp mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 10, 2026 | Feb 18, 2026 |
| Christina Lynn Bilenler | Osaic Wealth, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2025 | Dec 22, 2025 |
| Collin Xavier Bennett | Charles Schwab & Co., Inc. national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2025 | Jan 14, 2026 (39 d) |
| Yvette Brown | Northwestern Mutual Investment Services,LLC no RAUM | Assetmark, Inc. BD affiliated | Other | Dec 1, 2025 | Apr 1, 2026 (121 d) |
| Geraldo Joshua Wingate | Edward Jones national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2025 | Jul 30, 2026 (301 d) |
| Patrick Dingess | Stifel, Nicolaus & Company, Incorporated national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2025 | Aug 5, 2025 |
| Austin Harold Lewis | Vanguard Advisers, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2025 | Jul 22, 2025 |
| John Logan Cummings | The Pacific Financial Group, Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 14, 2025 | Jul 25, 2025 |
| Odalys Lara | UBS Financial Services Inc. wirehouse | Assetmark, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 26, 2025 | Jun 5, 2025 |
| Aidan Joseph Nash | Eagle Strategies LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2025 | Jun 20, 2025 (58 d) |
| Art John Dougan | Transamerica Financial Advisors, LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2025 | Apr 24, 2025 |
| Christian John Horcher | Zacks Investment Management, Inc. mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 4, 2025 | Apr 23, 2025 |
| Scott Hamilton Bolin | The Bolin Company unclassified | Assetmark, Inc. BD affiliated | Other | Mar 14, 2025 | Apr 21, 2025 (38 d) |
| Anthony Scott Kuc | Equitable Advisors, LLC national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2025 | Apr 29, 2025 (82 d) |
| Benjamin Maniscalco | Sei Investments Management Corp other | Assetmark, Inc. BD affiliated | Other | Jan 28, 2025 | Jan 31, 2025 |
| Patty Ann Miller | Oneamerica Securities, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2024 | May 21, 2025 (141 d) |
| Dagoberto David Orozco | J.P. Morgan Securities LLC wirehouse | Assetmark, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 | Dec 12, 2024 |
| Nicholas James Beauvais | Osaic Wealth, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2024 | Dec 6, 2024 |
| Erin Kay Wood | Cwm, LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2024 | Aug 14, 2025 (265 d) |
| Scott Matthew Friel | Osaic Wealth, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2024 | Nov 1, 2024 |
| Sean David Spellman | MML Investors Services, LLC BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Mar 26, 2026 (553 d) |
| Leesa Jane Nichols | Hodges Capital Management Inc mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 11, 2024 | Apr 15, 2026 (581 d) |
| Nicholas James Savage | Sei Investments Management Corp other | Assetmark, Inc. BD affiliated | Other | Aug 19, 2024 | Feb 6, 2025 (171 d) |
| Michael Ryan Aulson | Bny Mellon Securities Corporation other | Assetmark, Inc. BD affiliated | Other | Jul 12, 2024 | Dec 17, 2024 (158 d) |
| Robert Anthony Lima | Morningstar Investment Services LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 10, 2024 | Jul 22, 2024 |
| Alexander Louis Peterson | Equitable Advisors, LLC national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2024 | Jul 22, 2024 |
| Maxwell Patrick Stangret | Mcadam LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 3, 2024 | Jul 30, 2025 (453 d) |
| Patrick Edward Newman | Morningstar Investment Services LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2024 | May 8, 2024 |
| Alexander Monroe Burrows Jackson | Blackrock Investment Management, LLC other | Assetmark, Inc. BD affiliated | Other | Apr 17, 2024 | Dec 17, 2025 (609 d) |
| Adam Cole Aronson | Capital Wealth Planning, LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 9, 2024 | Jan 8, 2026 (639 d) |
| Daniel Jiyong Kim | Morningstar Investment Services LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 2, 2024 | May 15, 2024 (43 d) |
| Robert Gary Jesch | Charles Schwab & Co., Inc. national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 16, 2025 (553 d) |
| Trevor Burlison | Cambridge Investment Research Advisors, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2023 | Jan 19, 2024 |
| Desiree Marvel Sii | Sagepoint Financial, Inc. BD affiliated | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Jun 13, 2024 (258 d) |
| Brian P. Mccarthy | J.P. Morgan Securities LLC wirehouse | Assetmark, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2023 | May 31, 2024 (263 d) |
| Vincent Ronald Gimarelli | Asi Wealth Management & Consulting Services mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2023 | Jan 31, 2024 (177 d) |
| Eric Thomas Alexander | Nuveen Asset Management, LLC other | Assetmark, Inc. BD affiliated | Other | Apr 11, 2023 | Jul 29, 2024 (475 d) |
| Christian M Oconnor | Horizon Investments LLC asset manager | Assetmark, Inc. BD affiliated | Other | Jan 4, 2023 | Feb 8, 2023 (35 d) |
| Ryan Joseph Allessio | Orion Portfolio Solutions, LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 1, 2022 | Jan 23, 2023 (144 d) |
| Mindy Sue Foulger | Charles Schwab & Co., Inc. national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2022 | Aug 17, 2022 |
| Ryan John-Boedges Godier | Stifel, Nicolaus & Company, Incorporated national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Jan 8, 2026 (1255 d) |
| Michael D Heavey | Flexible Plan Investments Ltd mixed wealth | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 5, 2022 | Aug 18, 2022 (44 d) |
| Benjamin Walsh | Charles Schwab & Co., Inc. national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2022 | Jul 27, 2022 (34 d) |
| Derenig Michael Kostikian | Commonwealth Financial Network national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2022 | Aug 23, 2022 (78 d) |
| Daniel Christopher Beeson | Orion Portfolio Solutions, LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 23, 2022 | Aug 1, 2022 (70 d) |
| Trevor John Cornett | Severin Investments LLC independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2022 | Jun 21, 2022 (63 d) |
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219 moves match.