# ASSETMARK, INC.

ASSETMARK, INC. of CONCORD, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 109018
- Type: SEC-registered investment adviser
- SEC file number: 801-56323
- Location: 1655 GRANT STREET, 10TH FLOOR, CONCORD, CA, 94520-2445
- Phone: 800-664-5345
- Latest filing: 2026-05-18
- Regulatory AUM: $91.8B
- Discretionary AUM: $90.9B
- Non-discretionary AUM: $838.1M
- Clients: 859
- Accounts: 456,453

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (50)

_Showing 25 of 50 people._

| Name | Role | Location |
| --- | --- | --- |
| Carrie Ellen Hansen | CHIEF OPERATING OFFICER & DIRECTOR | — |
| Ted Fyke Angus | GENERAL COUNSEL | — |
| Gary G Zyla | CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| Hyun Michael Kim | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF CLIENT OFFICER & DIRECTOR | — |
| Joel David Mcnatt | CHIEF WEALTH SOLUTIONS OFFICER; HEAD OF INVESTMENT SOLUTIONS | — |
| Lou Maiuri | CHAIRMAN OF THE BOARD & DIRECTOR; CHAIRPERSON OF THE BOARD & DIRECTOR | — |
| John Henry Koval | CHIEF COMPLIANCE OFFICER | — |
| Mukesh Kantilal Mehta | CHIEF INFORMATION OFFICER | — |
| Claire Golveo Blue | CHIEF COMPLIANCE OFFICER | — |
| LOVELL JEFFREY DALE | BENEFICIARY OF JEFFREY D. LOVELL FAMILY TRUST; CO-MANAGING MEMBER OF LOVELL MINNICK HOLDINGS LLC; MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC | — |
| MINNICK JAMES EDWARD | CO-MANAGING MEMBER OF LOVELL MINNICK HOLDINGS LLC; DIRECTOR; MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC | — |
| NEWCOM JENNINGS JAY | MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC | — |
| SCHUTZ PAMELA S | DIRECTOR | — |
| FINK REGINA MARIE | VICE PRESIDENT & SENIOR COUNSEL | — |
| MCKINLEY PHILIP HOWARD | CHIEF COMPLIANCE OFFICER | — |
| VASQUEZ ENRIQUE MARTIN | DIRECTOR | — |
| MILLER ERIC LEE | CHIEF FINANCIAL OFFICER; DIRECTOR; MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC | — |
| OTOOLE RICHARD THOMAS | CHAIRMAN OF THE BOARD; SHAREHOLDER | — |
| CORDES RONALD DENNIS | CHAIRMAN; CHAIRMAN OF BOARD; CHAIRMAN OF THE BOARD (+4 more) | — |
| OTOOLE BRIAN ROBERT | CHIEF EXECUTIVE OFFICER; SENIOR VICE PRESIDENT; VICE CHAIRMAN | — |
| STEINY RICHARD EDWARD | CO-CHAIRMAN & DIRECTOR; PRESIDENT; SENIOR VICE PRESIDENT (+2 more) | — |
| WHITTAKER JOHN MATTHEW | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER; SENIOR VICE PRESIDENT | — |
| HANSEN CARRIE ELLEN | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER (+3 more) | — |
| CHAFKIN JEREMIAH HARRISON | CHIEF INVESTMENT OFFICER | — |
| AHLUWALIA GURINDER SINGH | CO-CHAIRMAN; PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR (+1 more) | — |


## Disclosures (10)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-09-26 | regulatory | THE SEC ISSUED AN ORDER INSTITUTING ADMINISTRATIVE CEASE-AND-DESIST PROCEEDINGS AGAINST ASSETMARK ON 09/26/2023 (THE "ORDER"). THE SEC ALLEGED THAT, FROM AT LEAST SEPTEMBER 2016 THROUGH JANUARY 2021, ASSETMARK FAILED TO FULLY DISCLOSE THAT ASSETMARK AND ASSETMARK'S AFFILIATE ASSETMARK TRUST COMPANY… | Final | $9.5M |
| 2016-08-25 | regulatory | ON AUGUST 25, 2016, THE SEC ISSUED AN ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940. THE SEC ALLEGED THAT ASSETMARK VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(A)(5) BY CIRCULATING MISLEADING PERFORMANCE ADVERTISEME… | Final | $500K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/109018/brochure
- Similar advisers: https://search.stillhousedata.com/firm/109018/similar
- Related entities: https://search.stillhousedata.com/firm/109018/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/109018

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.