# Assetmark, Inc.

> Assetmark, Inc. is an SEC-registered investment advisory firm in Concord, CA, registered since 1999, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 14, 2026.

- CRD: 109018
- Filed as: ASSETMARK, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Concord, CA
- Filing period: October 2026
- Form ADV filing dated: September 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109018
- AdvisorCensus page: https://advisorcensus.com/firm/assetmark-inc-concord-ca-109018

## Quick answers

**How is Assetmark, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Assetmark, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Assetmark, Inc. located?**
Assetmark, Inc.'s principal office is in Concord, CA, according to its Form ADV; the October 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Assetmark, Inc. registered with the SEC or a state?**
Assetmark, Inc. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 109018.

**How much does Assetmark, Inc. manage?**
Assetmark, Inc. reports $91,760,148,020 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (99% discretionary).

**How have Assetmark, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Assetmark, Inc.: Regulatory assets under management: $46,986,821,006 in the October 2021 data and $91,760,148,020 in the October 2026 data, up 95%. Total employees: 614 in October 2021 and 859 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Assetmark, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (436,288); high net worth individuals (11,731); pension and profit sharing plans (but not the plan participants or government pension plans) (4,797).

**Which custodians does Assetmark, Inc. use?**
Assetmark, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Assetmark Trust Company (affiliated with the firm) as a custodian holding 10% or more of its separately managed account assets.

**Does Assetmark, Inc. report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109018

**What changed in Assetmark, Inc.'s recent Form ADV filings?**
In the June 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Assetmark Trust Company (affiliated with the firm)

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $91,760,148,020
- Discretionary: $90,922,033,722
- Non-discretionary: $838,114,298

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 436,288 | $62,969,089,667 |
| High net worth individuals | 11,731 | $21,846,804,089 |
| Investment companies | 2 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 4,797 | $3,238,837,668 |
| Charitable organizations | 1,649 | $909,720,402 |
| Insurance companies | Fewer than 5 | $510,042,488 |
| Corporations or other businesses not listed above | 1,985 | $1,957,581,896 |
| Other | Fewer than 5 | $328,071,810 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1999 (27 years)
- Employees: 859 total, 269 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109018

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Charlotte, NC
- Chicago, IL
- Phoenix, AZ
- Sandy Springs, GA

### Websites listed on Form ADV (Item 1.I)
- assetmark.com
- ewealthmanager.com
- go-retire.com/ASSETMARK
- micro.fmgsuite.com/assetmark-marketing-advantage/signup
- Facebook @ASSETMARK-INC-117223442343476
- Instagram @ASSETMARK
- LinkedIn @COMPANY-BETA
- X @AssetMark
- YouTube @UCNLZ6Z4OTVVIN4KB-UZYEMW

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $46,986,821,006 | 614 | September 7, 2021 |
| October 2022 | $60,116,320,247 | 667 | March 29, 2022 |
| October 2023 | $55,215,464,971 | 752 | September 14, 2023 |
| October 2024 | $65,618,270,379 | 709 | September 25, 2024 |
| October 2025 | $77,412,781,198 | 735 | May 20, 2025 |
| October 2026 | $91,760,148,020 | 859 | September 14, 2026 |

Regulatory assets under management: $46,986,821,006 in the October 2021 data and $91,760,148,020 in the October 2026 data, up 95%.
Total employees: 614 in October 2021 and 859 in October 2026.

## Changes in the filing (last 12 months)

### June 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 244 to 269.
- Regulatory assets under management went from $77,412,781,198 to $91,760,148,020 (+19%).
- No longer lists an office in Encino, CA.

### December 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Assetmark, Inc. (CRD 109018): Form ADV filing data as of October 2026.