AMK / AssetMark Financial Holdings, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38980 ASSETMARK FINANCIAL HOLDINGS, INC. (Exact name of registrant as sp

AMK / AssetMark Financial Holdings, Inc. / Huatai Securities Co., Ltd. - FORM SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 2)* AssetMark Financial Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 04546L106 (CUSIP Number) Ted Angus Executive Vice President and General Counsel AssetMark Financial Holdings, Inc.

SECOND AMENDED AND RESTATED BYLAWS OF ASSETMARK FINANCIAL HOLDINGS, INC. A Delaware corporation (Adopted as of September 5, 2024) ARTICLE I OFFICES

EXHIBIT 3.2 SECOND AMENDED AND RESTATED BYLAWS OF ASSETMARK FINANCIAL HOLDINGS, INC. A Delaware corporation (Adopted as of September 5, 2024) ARTICLE I OFFICES Section 1.Registered Office. The registered office of the corporation in the State of Delaware shall be located at 131 Continental Dr Suite 305, in the City of Newark, New Castle County, Delaware 19713. The name of the corporation's registe

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 16, 2024, pursuant to the provisions of Rule 12d2-2 (a).

SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ASSETMARK FINANCIAL HOLDINGS, INC. ARTICLE ONE

EXHIBIT 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ASSETMARK FINANCIAL HOLDINGS, INC. ARTICLE ONE The name of the Corporation is AssetMark Financial Holdings, Inc. ARTICLE TWO The address of the Corporation’s registered office in the State of Delaware is 131 Continental Drive, Suite 305, in the City of Newark, County of New Castle 19713. The name of its registered agent at suc

As filed with the Securities and Exchange Commission on September 5, 2024

As filed with the Securities and Exchange Commission on September 5, 2024 Registration Statement No.

As filed with the Securities and Exchange Commission on September 5, 2024

As filed with the Securities and Exchange Commission on September 5, 2024 Registration Statement No.

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

AssetMark Completes Acquisition by GTCR, Launching New Era of Strategic Growth and Expansion Asset Management and Financial Services Leader Lou Maiuri Named Chairman and Group CEO

EXHIBIT 99.1 AssetMark Completes Acquisition by GTCR, Launching New Era of Strategic Growth and Expansion Asset Management and Financial Services Leader Lou Maiuri Named Chairman and Group CEO CONCORD, Calif., September 05, 2024 (GLOBE NEWSWIRE) - AssetMark Financial Holdings, Inc. (“the Company”), a leading wealth management technology platform for financial advisors, today began a new era of str

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1655 Grant Street, 10th Floor Concord, CA 94520 August 7, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Energy & Transportation 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

AssetMark Reports $119.4B Platform Assets for Second Quarter 2024

EXHIBIT 99.1 AssetMark Reports $119.4B Platform Assets for Second Quarter 2024 CONCORD, Calif., July 18, 2024, (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2024. Second Quarter 2024 Financial and Operational Highlights •Net income for the quarter was $32.3 million, or $0.43 per share. •Adjusted net income for the

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (C

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1655 Grant Street, 10th Floor Concord, CA 94520 July 15, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Energy & Transportation 100 F Street, N.

AssetMark to Enter Strategic Alliance with Morningstar Wealth, Acquire Assets from TAMP Business

EXHIBIT 99.1 AssetMark to Enter Strategic Alliance with Morningstar Wealth, Acquire Assets from TAMP Business Concord, CA – June 20, 2024 – Wealth management platform AssetMark, Inc., a wholly owned subsidiary of AssetMark Financial Holdings, Inc. and a Registered Investment Adviser (collectively “AssetMark”), today announced a strategic alliance with Morningstar Wealth, a division of independent

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c–5(d)(2)) ☒ Definitive Information Statement AssetMark Financial Holdings,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c–5(d)(2)) ☐ Definitive Information Statement AssetMark Financial Holdings,

CALCULATION OF FILING FEE TABLES Schedule 14C (Form Type) ASSETMARK FINANCIAL HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee Rate Amount of Fili

EX-FILING FEES Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14C (Form Type) ASSETMARK FINANCIAL HOLDINGS, INC.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

Amended and Restated AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan

EXHIBIT 10.1 AMENDED AND RESTATED ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN Section 1. Purpose and Eligibility. (a) General Purpose. The purpose of this Amended and Restated AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as amended from time to time, the “Plan”) is to motivate and reward employees and other individuals to perform at the highest level and contrib

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Com

AssetMark Reports $116.9B Platform Assets for First Quarter 2024

EXHIBIT 99.1 AssetMark Reports $116.9B Platform Assets for First Quarter 2024 CONCORD, Calif., May 1, 2024, (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended March 31, 2024. First Quarter 2024 Financial and Operational Highlights •Net income for the quarter was $38.0 million, or $0.51 per share. •Adjusted net income for the qu

Agreement and Plan of Merger by and among AssetMark Financial Holdings, Inc., GTCR Everest Borrower, LLC and GTCR Everest Merger Sub, Inc., dated as of April 25, 2024.

Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER dated as of APRIL 25, 2024 among ASSETMARK FINANCIAL HOLDINGS, INC., GTCR EVEREST BORROWER, LLC and GTCR EVEREST MERGER SUB, INC. TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 2 Section 1.02. Other Definitional and Interpretative Provisions 15 Article 2 The Merger Section 2.01. The Merger 16 Section 2.02. Conversio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 AssetMark Financia

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (

AssetMark Signs Definitive Agreement to be Acquired by GTCR Investment by leading private equity firm is premised on sustaining growth and product expansion at the Company

Exhibit 99.1 AssetMark Signs Definitive Agreement to be Acquired by GTCR Investment by leading private equity firm is premised on sustaining growth and product expansion at the Company Concord, CA— April 25, 2024 AssetMark Financial Holdings, Inc. (NYSE: AMK) (“AssetMark” or “Company”), a leading wealth management technology platform for financial advisors, today announced that it has signed a def

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) x Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) o Defin

idelity Brokerage Services LLC, National Financial Services LLC and AssetMark Trust Compan

DocuSign Envelope ID: 7FA5E22B-E1B6-42A2-86CB-9D2A426CE9BE Exhibit 10.16 AMENDMENT No. 9 TO THE SUBCUSTODIAL AND SERVICES AGREEMENT Reference is hereby made to the Subcustodial and Service Agreement, dated November 1, 2005, between GE Financial Trust Company, subsequently named AssetMark Trust Company (“AssetMark” or “Customer”) and Fidelity Brokerage Services LLC and National Financial Services L

Clawback Policy

Exhibit 97.1 ASSETMARK FINANCIAL HOLDINGS, INC. Clawback Policy Adopted September 28, 2023 Introduction The Board of Directors (the “Board”) of AssetMark Financial Holdings, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-perform

Second Amendment, dated September 5, 2017, to the Master Services Agreement

DocuSign Envelope ID: 233BA426-EB0C-412D-B2D4-785C90E57600 Exhibit 10.6 AMENDMENT #2 TO MASTER SERVICES AGREEMENT This is the Second Amendment (“Amendment #2”) to the Master Services Agreement dated August 1, 2017 as amended, and together with all addenda (the “Agreement”), by and between: Incedo Inc. (dba IB Technology Solutions Inc.), a Delaware corporation having a principal office at 170 Woods

First Amendment to Beta Services Agreement, dated July 20, 2022, by and between Beta Plus Technologies, Inc. and AssetMark Financial Holdings, Inc.

The redacted information has been excluded because it is both (i) not material and (ii) of the type of information that the registrant customarily treats as private and confidential.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38

Description of Capital Stock

Exhibit 4.3 Description of Capital Stock The description below of our capital stock and provisions of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualified by reference to the amended and restated certificate of incorporation and the amended and restated bylaws, which are incorporated by reference as exhibits to the Annual Report on F

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Subsidiary Jurisdiction of Organization AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Services, Inc. Delaware AssetMark Brokerage, LLC Delaware Atria Investments, Inc. North Carolina Global Financial Private Capital, Inc. Florida Voyant, Inc. Delaware Voyant UK Ltd United Kingdom Voyant Financial Technologies Inc. Can

AssetMark Reports $108.9B Platform Assets for Fourth Quarter 2023

EXHIBIT 99.1 AssetMark Reports $108.9B Platform Assets for Fourth Quarter 2023 CONCORD, Calif., February 21, 2024, (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended December 31, 2023. Fourth Quarter 2023 Financial and Operational Highlights •Net income for the quarter was $34.6 million, or $0.47 per share. •Adjusted net income

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2024 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

For general public use. Fourth Quarter 2023 Investor Presentation Exhibit 99.1 For general public use. 2 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are

For general public use. Fourth Quarter 2023 Investor Presentation Exhibit 99.1 For general public use. 2 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “may,” “could,” “should,” “believe,” “expect,” “estimate,” “potential” or “continu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSET

AssetMark Reports $99.6B Platform Assets for Third Quarter 2023

EXHIBIT 99.1 AssetMark Reports $99.6B Platform Assets for Third Quarter 2023 CONCORD, Calif., November 6, 2023, (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended September 30, 2023. Third Quarter 2023 Financial and Operational Highlights •Net income for the quarter was $38.4 million, or $0.52 per share. •Adjusted net income fo

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdict

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

, UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 18, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporatio

AssetMark Names Michael Kim Chief Executive Officer Natalie Wolfsen to Depart AssetMark

Exhibit 99.1 AssetMark Names Michael Kim Chief Executive Officer Natalie Wolfsen to Depart AssetMark September 8, 2023 — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced that, in line with the AssetMark Board of Directors’ established succession plan, Michael Kim has been named the company’s new Chief Executive Officer, effective immediately. Mr. Kim will also join the AssetMark Boar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2023 AssetMark Finan

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Form of Cash-Linked Stock Appreciation Right Award Notice and Agreement

ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN STOCK APPRECIATION RIGHT AWARD NOTICE AND AGREEMENT This Stock Appreciation Right Award Notice and Agreement (the “Notice and Agreement”) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient (the “Recipient”) named in the Stock Appreciation Right

Form of Equity-Linked Stock Appreciation Right Award Notice and Agreemen

ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN STOCK APPRECIATION RIGHT AWARD NOTICE AND AGREEMENT This Stock Appreciation Right Award Notice and Agreement (the “Notice and Agreement”) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient (the “Recipient”) named in the Stock Appreciation Right

AssetMark Reports $100.8B Platform Assets for Second Quarter 2023

Exhibit 99.1 AssetMark Reports $100.8B Platform Assets for Second Quarter 2023 CONCORD, Calif., August 2, 2023 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2023. Second Quarter 2023 Financial and Operational Highlights •Net income for the quarter was $32.9 million, or $0.44 per share. •Adjusted net income for the

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2023 AssetMark Financial

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Company

EXHIBIT 3.1 STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ASSETMARK FINANCIAL HOLDINGS, INC. AssetMark Financial Holdings, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That the present name of the Corporation is AssetMar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Master Software License and Services Agreement, effective as of April 1, 2022, by and between AssetMark, Inc. and Redi2 Technologies, Inc., and the First Amendment to Master Software License and Services Agreement, dated as of July 29, 2022, by and between AssetMark, Inc. and Redi2 Technologies, Inc

Exhibit 10.1 The redacted information has been excluded because it is both (i) not material and (ii) of the type of information that the registrant customarily treats as private and confidential. AssetMark, Inc.- Redi2 Master Software License and Services Agreement This Master Software License and Services Agreement (“Agreement”) is executed by and between Redi2 Technologies, Inc., a Delaware corp

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emplo

4 AssetMark Financial Holdings, Inc. Unaudited Condensed Consolidated Balance Sheets (in thousands except share data and par value)

EXHIBIT 99.1 AssetMark Reports $96.2B Platform Assets for First Quarter 2023 CONCORD, Calif., May 3, 2023 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended March 31, 2023. First Quarter 2023 Financial and Operational Highlights • Net income for the quarter was $17.2 million, or $0.23 per share. • Adjusted net income for the qu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☐Definiti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☒Definiti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☐Definiti

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Subsidiary Jurisdiction of Organization Adhesion Wealth Advisor Solutions, Inc. North Carolina AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Atria Investments, Inc. North Carolina Global Financial Private Capital, Inc. Florida Global Financial Ad

Description of Capital Stock

Exhibit 4.3 Description of Capital Stock The description below of our capital stock and provisions of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualified by reference to the amended and restated certificate of incorporation and the amended and restated bylaws, which are incorporated by reference as exhibits to the Annual Report on F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK FINA

AssetMark Reports $91.5B Platform Assets for Fourth Quarter 2022

EXHIBIT 99.1 AssetMark Reports $91.5B Platform Assets for Fourth Quarter 2022 CONCORD, Calif., February 22, 2023 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter and full year ended December 31, 2022. Fourth Quarter 2022 Financial and Operational Highlights • Net income for the quarter was $25.6 million, or $0.35 per share. • Adjus

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2023 AssetMark Finan

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2023 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Financial Statements and Exhibits, Other Events

amk-8k20221215.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdicti

AssetMark Completes Acquisition of Adhesion Wealth

amk-ex99124.htm Exhibit 99.1 AssetMark Completes Acquisition of Adhesion Wealth CONCORD, Calif ? December 15, 2022 ? AssetMark announced today the completion of its acquisition of Adhesion Wealth, a leading provider of wealth management technology solutions to RIAs, RIA enterprises, TAMPs and asset managers. ?AssetMark and Adhesion are officially united in pursuit of our shared mission to empower

ESG Amendment to the Amended and Restated Credit Agreement, dated as of October 25, 2022, by and between AssetMark Financial Holdings, Inc. and Bank of Montreal, as Sustainability Coordinator.

Exhibit 10.1 The redacted information has been excluded because it is both (i) not material and (ii) of the type of information that the registrant customarily treats as private and confidential. ESG Amendment This ESG Amendment is entered into as of October 25, 2022, by and among AssetMark Financial Holdings, Inc., a Delaware corporation (the ?Borrower?) and Bank of Montreal, as Sustainability Co

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSET

Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “may,” “could,” “should,” “believe,”

Investor Presentation Fourth Quarter 2022 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as ?will,? ?may,? ?could,? ?should,? ?believe,? ?expect,? ?estimate,? ?potential? or ?continue,? the negative of these terms and other comparab

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

4 AssetMark Financial Holdings, Inc. Unaudited Condensed Consolidated Balance Sheets (in thousands except share data and par value)

EXHIBIT 99.1 AssetMark Reports $79.4B Platform Assets for Third Quarter 2022 CONCORD, Calif., November 1, 2022 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended September 30, 2022. Third Quarter 2022 Financial and Operational Highlights ? Net income for the quarter was $30.1 million, or $0.41 per share. ? Adjusted net income f

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 13, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IR

Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “may,” “could,” “should,” “believe,”

Analyst Dinner September 13, 2022 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as ?will,? ?may,? ?could,? ?should,? ?believe,? ?expect,? ?estimate,? ?potential? or ?continue,? the negative of these terms and other comparable termi

Forms of Restricted Stock Unit Award and Notice Agreement

Exhibit 10.1 ASSETMARK FINANCIAL HOLDINGS, INC. NOTICE OF RESTRICTED STOCK UNIT AWARD Except as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Unit Award (this ?Notice?) shall have the meaning ascribed to such term in the AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as it may be amended from time to time, the ?Plan?). ###PARTICIP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Form of Stock Appreciation Right Award Notice and Agreement

Exhibit 10.2 ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN STOCK APPRECIATION RIGHT AWARD NOTICE AND AGREEMENT This Stock Appreciation Right Award Notice and Agreement (the ?Notice and Agreement?) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the ?Company?) and the individual recipient (the ?Recipient?) named in the Stock Apprec

Form of Long-Term Cash Incentive Award Agreement

Exhibit 10.3 AssetMark Financial Holdings, Inc. Long Term Cash Incentive Award Agreement ###MONTHYEAR### This Long Term Cash Incentive Award Agreement (?Agreement?) is effective as of ###GRANTDATE### (the ?Effective Date?), by and between AssetMark Financial Holdings, Inc. ("Company") and ###PARTICIPANTNAME### ("Employee"). The Board of Directors (?Board?) of the Company has approved the grant to

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Em

AssetMark Reports $82.1B Platform Assets for Second Quarter 2022

Exhibit 99.1 AssetMark Reports $82.1B Platform Assets for Second Quarter 2022 CONCORD, Calif., August 3, 2022 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2022. Second Quarter 2022 Financial and Operational Highlights ? Net income for the quarter was $25.3 million, or $0.34 per share. ? Adjusted net income for th

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emp

AssetMark to Acquire Adhesion Wealth, Accelerating RIA Offering

AssetMark to Acquire Adhesion Wealth, Accelerating RIA Offering CONCORD, Calif. ? June 13, 2022 ? AssetMark Financial Holdings, Inc., announced today it has reached an agreement with Vestmark to acquire Adhesion Wealth, a leading provider of wealth management technology solutions to RIAs, RIA enterprises and asset managers. Adhesion?s platform enables over 2,800 fee-based advisors across 180 RIAs

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Empl

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Empl

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Empl

Contents Opportunity Highlights Market Overview Company Overview Financial Overview Appendix

Investor Presentation Second Quarter 2022 EXHIBIT 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as ?will,? ?may,? ?could,? ?should,? ?believe,? ?expect,? ?estimate,? ?potential? or ?continue,? the negative of these terms and other comparab

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

First Amendment to the Master Services Agreement, dated as of January 1, 2022, by and between Incedo Inc. and AssetMark, Inc.

The redacted information has been excluded because it is both (i) not material and (ii) the type of information that the registrant customarily treats as private and confidential.

Nineteenth Amendment to the CheckFree APL Master Agreement, dated as of March 16, 2022, by and between Tegra118 Wealth Solutions, Inc. and AssetMark, Inc.

Exhibit 10.2 The redacted information has been excluded because it is both (i) not material and (ii) the type of information that the registrant customarily treats as private and confidential. Nineteenth Amendment to the CheckFree APL Master Agreement This Nineteenth Amendment (the ?Amendment?) is entered into as of March 16, 2022, and is by and between Tegra118 Wealth Solutions, Inc. (?Vendor?) a

Fourth Amendment to Office Lease, dated as of June 1, 2020, by and between Concord Technology Center Property Owner, LLC and AssetMark Inc.

EXHIBIT 10.3 FOURTH AMENDMENT TO OFFICE LEASE This FOURTH AMENDMENT TO OFFICE LEASE ("Fourth Amendment") is made and entered into as of the 1st day of June, 2020, by and between CONCORD TECHNOLOGY CENTER PROPERTY OWNER, LLC, a Delaware limited liability company ("Landlord"), and ASSETMARK, INC., a California corporation ("Tenant"). r e c i t a l s : A. Landlord (as successor-in-interest to SFG Own

AssetMark Reports $90.8B Platform Assets for First Quarter 2022

EXHIBIT 99.1 AssetMark Reports $90.8B Platform Assets for First Quarter 2022 CONCORD, Calif., April 28, 2022 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended March 31, 2022. First Quarter 2022 Financial and Operational Highlights ? Net income for the quarter was $22.2 million, or $0.30 per share. ? Adjusted net income for the

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Em

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ?Preliminary Proxy Statement ?Confidential, for Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ?Definiti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

DEF 14A 1 amk-def14a20220606.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware Voyant, Inc. Delaware Voyant UK Ltd United Kingdom V

Description of Capital Stock

Exhibit 4.3 Description of Capital Stock The description below of our capital stock and provisions of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualified by reference to the amended and restated certificate of incorporation and the amended and restated bylaws, which are incorporated by reference as exhibits to the Annual Report on F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK FINA

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emp

Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “could,” “expect,” “estimates,” “plan

Investor Presentation March 2022 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “could,” “expect,” “estimates,” “plans,” or “continue,” the negative of these terms and other comparable terminology that conveys uncertainty

AssetMark Reports $93.5B Platform Assets for Fourth Quarter 2021

EXHIBIT 99.1 AssetMark Reports $93.5B Platform Assets for Fourth Quarter 2021 CONCORD, Calif., February 15, 2022 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter and full year ended December 31, 2021. Fourth Quarter 2021 Financial and Operational Highlights ? Net income for the quarter was $12.4 million, or $0.17 per share. ? Adjus

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Amended and Restated Credit Agreement, dated as of January 12, 2022, by and among AssetMark Financial Holdings, Inc., Bank of Montreal, as the Administrative Agent, the Guarantors party thereto, and the Lenders party thereto.

Exhibit 10.1 EXECUTION COPY $500,000,000 Senior Secured Credit Facility Amended and Restated Credit Agreement Dated as of January 12, 2022, among AssetMark Financial Holdings, Inc., the Guarantors from time to time parties hereto, the Lenders from time to time parties hereto, and Bank of Montreal, as Administrative Agent and Sustainability Coordinator BMO Capital Markets Corp., JPMorgan Chase Bank

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2022 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “will,” “could,” “expect,” “believes,” “estim

Investor Presentation December 2021 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements Forward-looking statements include all statements that are not historical facts and can be identified by terms such as ?will,? ?could,? ?expect,? ?believes,? ?estimates,? ?predicts,? ?potential,? ?plans,? or ?continue,? the negative of these terms and other compara

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware WBI OBS Financial, Inc. Ohio OBS Holdings, Inc. Ohio

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSET

AssetMark Reports $86.8B Platform Assets for Third Quarter 2021

Exhibit 99.1 AssetMark Reports $86.8B Platform Assets for Third Quarter 2021 CONCORD, Calif., November 9, 2021 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended September 30, 2021. Third Quarter 2021 Financial and Operational Highlights ? Net income for the quarter was $12.3 million, or $0.17 per share. ? Adjusted net income f

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Beta Services Master Subscription Agreement by and between Refinitiv US LLC and AssetMark Financial Holdings, Inc., dated May 21, 2020

Exhibit 10.1 The redacted information has been excluded because it is both (i) not material and (ii) of the type of information that the registrant customarily treats as private and confidential. BETA Services MASTER SUBSCRIPTION AGREEMENT This BETA Services Master Subscription Agreement (this ?Agreement?) is entered into as of this 21st day of May, 2020 (the ?Agreement Date? by and between Refini

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emp

AssetMark Reports $84.6B Platform Assets for Second Quarter 2021

Exhibit 99.1 AssetMark Reports $84.6B Platform Assets for Second Quarter 2021 CONCORD, Calif., July 28, 2021 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2021. Second Quarter 2021 Financial and Operational Highlights ? Net income for the quarter was $10.0 million, or $0.14 per share. ? Adjusted net income for the

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

AssetMark Closes on the Acquisition of Voyant

Exhibit 99.1 AssetMark Closes on the Acquisition of Voyant CONCORD, Calif., July 1, 2021 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK), a leading provider of wealth management and technology solutions for financial advisors, today announced the completion of its acquisition of Voyant, a global provider of SaaS-based financial planning, wellness and client digital engagement sol

June 29, 2021

June 29, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Donald Field Re: AssetMark Financial Holdings, Inc. Registration Statement on Form S-3/A Registration No. 333-240311 Request for Acceleration Dear Mr. Field: In accordance with Rule 461 under the Securities Act of 1933, as amended, AssetMark Finan

As filed with the Securities and Exchange Commission on June 17, 2021

As filed with the Securities and Exchange Commission on June 17, 2021 Registration No.

1 For general public use. 2021 Analyst Dinner June 15, 2021

Exhibit 99.1 1 For general public use. 2021 Analyst Dinner June 15, 2021 2 For general public use. Forward looking statements and non - GAAP financial measures Forward - Looking Statements This presentation contains forward - looking statements, including statements regarding our future financial and operating perform ance, which involve risks and uncertainties. Actual results may differ materiall

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (C

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

Quarterly Report - 10-Q ENDING 3/31/2021

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware WBI OBS Financial, Inc. Ohio OBS Holdings, Inc. Dela

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emplo

AssetMark Reports $78.9B Platform Assets for First Quarter 2021

Exhibit 99.1 AssetMark Reports $78.9B Platform Assets for First Quarter 2021 CONCORD, Calif., May 4, 2021 (GLOBE NEWSWIRE) ? AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended March 31, 2021. First Quarter 2021 Financial and Operational Highlights ? Net loss for the quarter was $8.9 million, or $0.13 per share. ? Adjusted net income for the quart

Employment Agreement by and between the AssetMark Financial Holdings, Inc. and Michael Kim

Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) is made and entered into effective as of the 3rd day of March, 2021 (the ?Effective Date?), by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the ?Company?), and Michael Kim (?Executive?). W I T N E S S E T H: WHEREAS, the Company desires to continue to employ Executive and to enter into this Ag

- DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ? ? ? Check the appropriate box: ? ? ? Preliminary Proxy Statement ? ? ? Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ? ? ? De

Employment Agreement by and between the AssetMark Financial Holdings, Inc. and Natalie Wolfsen

Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) is made and entered into effective as of the 3rd day of March, 2021 (the ?Effective Date?), by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the ?Company?), and Natalie Wolfsen (?Executive?). W I T N E S S E T H: WHEREAS, the Company desires to continue to employ Executive and to enter into thi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (

Separation Agreement dated March 5, 2021 by and between AssetMark Financial Holdings, Inc. and Charles Goldman

EX-10.1 2 amk-ex10115.htm EX-10.1 Exhibit 10.1 SEPARATION AGREEMENT This SEPARATION AGREEMENT is made and entered into as of this 3rd day of March, 2021 (the “Execution Date”) by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the “Company”) and Charles Goldman (“Executive”). W I T N E S S E T H: WHEREAS, the Company and Executive have agreed that Executive’s service to the

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdict

Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK FINA

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware

Description of Capital Stock

Exhibit 4.3 Description of Capital Stock The description below of our capital stock and provisions of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualified by reference to the amended and restated certificate of incorporation and the amended and restated bylaws, which are incorporated by reference as exhibits to the Annual Report on F

Voyant Acquisition Accelerates the AssetMark Financial Wellness Vision

EX-99.1 2 amk-ex99114.htm EX-99.1 Exhibit 99.1 Voyant Acquisition Accelerates the AssetMark Financial Wellness Vision Concord, Calif.— March 1, 2021 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced it will acquire Voyant, a leading global provider of SaaS-based financial planning and client digital engagement solutions. Voyant serves more than 20,000 advisors acros

Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (C

AssetMark Names Natalie Wolfsen Chief Executive Officer Michael Kim Appointed President

Exhibit 99.1 AssetMark Names Natalie Wolfsen Chief Executive Officer Michael Kim Appointed President CONCORD, Calif., Feb. 23, 2021 (GLOBE NEWSWIRE) – AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced that its Board of Directors has named Natalie Wolfsen as the company’s new Chief Executive Officer and Michael Kim as its new President. Both appointments are effective as of March 3, 20

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

AssetMark Reports Record $74.5B Platform Assets for Fourth Quarter 2020

Exhibit 99.1 AssetMark Reports Record $74.5B Platform Assets for Fourth Quarter 2020 CONCORD, Calif., February 11, 2021 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter and full year ended December 31, 2020. Fourth Quarter 2020 Financial and Operational Highlights • Net loss for the quarter was $9.9 million, or $0.15 per share. • A

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

Credit Agreement by and among the Company, Bank of Montreal, as the Administrative Agent, the guarantors party thereto, and the lenders party thereto, dated as of December 30, 2020

EX-10.1 2 amk-ex10116.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION Credit Agreement Dated as of December 30, 2020, among AssetMark Financial Holdings, Inc., the Guarantors from time to time parties hereto, the Lenders from time to time parties hereto, and Bank of Montreal, as Administrative Agent BMO Capital Markets Corp., JPMorgan Chase Bank, N.A., U.S. Bank National Association and Wells Fargo Sec

Financial Statements and Exhibits - 8-K - INVESTOR PRESENTATION DECEMBER 2020

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Act of 1995 including statements regarding our future

Investor Presentation December 2020 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Act of 1995 including statements regarding our future financial and operating performance, which involve risks and uncertainties. Actual results may differ

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSET

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware WBI OBS Financial, Inc. Ohio OBS Holdings, Inc. Ohio

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K THIRD QUARTER EARNINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

AssetMark Reports $67.3B Platform Assets for Third Quarter 2020

EX-99.1 2 amk-ex9916.htm EX-99.1 Exhibit 99.1 AssetMark Reports $67.3B Platform Assets for Third Quarter 2020 CONCORD, Calif., November 10, 2020 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended September 30, 2020. Third Quarter 2020 Financial and Operational Highlights • Net income for the quarter was $8.6 million, or $0.12 p

Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Act of 1995 including statements regarding our future

EX-99.1 2 amk-ex9916.htm EX-99.1 Investor Presentation August 27-28, 2020 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Act of 1995 including statements regarding our future financial and operating performance, which involve risks and un

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware WBI OBS Financial, Inc. Ohio OBS Holdings, Inc. Ohio

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

AssetMark Reports Record $63.2B Platform Assets for Second Quarter 2020

Exhibit 99.1 AssetMark Reports Record $63.2B Platform Assets for Second Quarter 2020 CONCORD, Calif., August 4, 2020 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2020. Second Quarter 2020 Financial and Operational Highlights • Net loss for the quarter was $9.3 million, or $0.14 per share. • Adjusted net income fo

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Em

- S-3

S-3 Table of Contents As filed with the Securities and Exchange Commission on August 3, 2020 Registration No.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Registration Rights Agreement by and between the Company and Huatai International Investment Holdings Limited, dated as of July 17, 2019

Exhibit 4.1 REGISTRATION RIGHTS AGREEMENT by and between AssetMark Financial Holdings, Inc. and Huatai International Investment Holdings Limited Dated as of July 17, 2019 TABLE OF CONTENTS PAGE Section 1. Certain Definitions 1 Section 2. Demand Registration 5 Section 3. Piggyback Registrations 8 Section 4. Lock-up Arrangements 9 Section 5. Participating in Underwritten Offering 10 Section 6. Regis

Subsidiaries of the Registrant

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware WBI OBS Financial, LLC Ohio OBS Financial, Inc. Ohio

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (Co

AssetMark Reports Record Net Flows for First Quarter 2020

Exhibit 99.1 AssetMark Reports Record Net Flows for First Quarter 2020 CONCORD, Calif., May 5, 2020 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended March 31, 2020. First Quarter 2020 Financial and Operational Highlights • Net income for the quarter was $2.7 million, or $0.04 per share. • Adjusted net income for the quarter w

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS Emplo

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State

Definitive Proxy Statement on Schedule 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant  ☐ Check the appropriate box:  ☐ Preliminary Proxy Statement  ☐ Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)(2)) ☒ D

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Entity Jurisdiction of Org AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Retirement Services, Inc. Pennsylvania AssetMark Brokerage, LLC Delaware Global Financial Private Capital, Inc. Florida Global Financial Advisory, LLC Delaware

AMK / AssetMark Financial Holdings, Inc. 10-K - Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK FINA

Description of Capital Stock

Exhibit 4.3 Description of Capital Stock The description below of our capital stock and provisions of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualified by reference to the amended and restated certificate of incorporation and the amended and restated bylaws, which are incorporated by reference as exhibits to the Annual Report on F

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation) (C

AssetMark Closes on the Acquisition of OBS Financial

EX-99.1 2 amk-ex9916.htm EX-99.1 Exhibit 99.1 AssetMark Closes on the Acquisition of OBS Financial CONCORD, Calif., March 2, 2020 (GLOBE NEWSWIRE) - AssetMark Financial Holdings, Inc., announced the completion of its acquisition of OBS Financial, a $2 billion-plus turnkey asset management platform and a subsidiary of Canandaigua National Corporation. By completing the transaction, AssetMark will a

AssetMark Reports Record $61.6B Platform Assets for Fourth Quarter and Full Year 2019

Exhibit 99.1 AssetMark Reports Record $61.6B Platform Assets for Fourth Quarter and Full Year 2019 CONCORD, Calif., February 26, 2020 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter and full year ended December 31, 2019. Fourth Quarter 2019 Financial and Operational Highlights • Net loss for the quarter was $2.7 million, or $0.04

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2020 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, including statements regarding our

Investor Presentation Winter 2019 Exhibit 99.1 Forward looking statements and non-GAAP financial measures Forward-Looking Statements This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, including statements regarding our future financial and operating performance, which involve risks and uncertainties. Actual results may

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

Registration Rights Agreement by and between the Company and Huatai International Investment Holdings Limited, dated as of July 17, 2019

Exhibit 4.1 REGISTRATION RIGHTS AGREEMENT by and between AssetMark Financial Holdings, Inc. and Huatai International Investment Holdings Limited Dated as of July 17, 2019 TABLE OF CONTENTS PAGE Section 1. Certain Definitions 1 Section 2. Demand Registration 5 Section 3. Piggyback Registrations 8 Section 4. Lock-up Arrangements 9 Section 5. Participating in Underwritten Offering 10 Section 6. Regis

AMK / AssetMark Financial Holdings, Inc. 10-Q - Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSET

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS

AssetMark Reports Record $57.9B Platform Assets for Third Quarter 2019

EX-99.1 2 amk-ex9916.htm EX-99.1 Exhibit 99.1 AssetMark Reports Record $57.9B Platform Assets for Third Quarter 2019 CONCORD, Calif., November 5, 2019 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended September 30, 2019. Third Quarter 2019 Financial and Operational Highlights • Net loss for the quarter was $3.7 million, or $0.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporatio

AssetMark Acquires OBS Financial $2B+ TAMP providing DFA solutions to join innovative wealth management platform designed to help advisors scale and deliver value to clients

Exhibit 99.1 AssetMark Acquires OBS Financial $2B+ TAMP providing DFA solutions to join innovative wealth management platform designed to help advisors scale and deliver value to clients CONCORD, CA — September 30, 2019 — AssetMark Financial Holdings, Inc., announced today that it has reached an agreement, through its subsidiary AssetMark Financial, with Canandaigua National Corporation to acquire

AMK / AssetMark Financial Holdings, Inc. 10-Q - Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38980 ASSETMARK

Third Amendment to Office Lease for facilities at 1655 Grant Street, Concord, California, dated May 29, 2019

Exhibit 10.2 THIRD AMENDMENT TO OFFICE LEASE This THIRD AMENDMENT TO OFFICE LEASE (“Third Amendment”) is made and entered into as of the 29th day of May, 2019, by and between CONCORD TECHNOLOGY CENTER PROPERTY OWNER, LLC, a Delaware limited liability company (“Landlord”), and ASSETMARK, INC., a California corporation (“Tenant”). RECITALS: A.Landlord (as successor-in-interest to SFG Owner A, LLC) a

AssetMark Reports Record $56.1B Platform Assets for Second Quarter 2019

Exhibit 99.1 AssetMark Reports Record $56.1B Platform Assets for Second Quarter 2019 CONCORD, Calif., August 28, 2019 (GLOBE NEWSWIRE) — AssetMark Financial Holdings, Inc. (NYSE: AMK) today announced financial results for the quarter ended June 30, 2019. Second Quarter 2019 Financial and Operational Highlights • Net income for the quarter was $3.2 million, or $0.05 per share. • Adjusted net income

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction (Commission (IRS E

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation)

Amended and Restated Employment Agreement by and between the Company and Charles Goldman, dated August 28, 2019

Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (as so amended and restated, this “Agreement”) is made and entered into as of this 28th day of August, 2019 (the “Effective Date”), by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the “Company”), and Charles Goldman (“Executive”). W I T N E S S E T H: WHEREAS, the Compan

AMK / AssetMark Financial Holdings, Inc. / Huatai Securities Co., Ltd. - SC 13D/A Activist Investment

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 1)* AssetMark Financial Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 04546L106 (CUSIP Number) Ted Angus Executive Vice President and General Counsel 1655 Grant Street, 10th Fl

AMK / AssetMark Financial Holdings, Inc. / Huatai Securities Co., Ltd. - SC 13D Activist Investment

SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. )* AssetMark Financial Holdings, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 04546L106 (CUSIP Number) Ted Angus Executive Vice President and General Counsel 1655 Grant Street, 10th Floor

Joint Filing Agreement

EX-99.1 Exhibit I Joint Filing Agreement This will confirm the agreement by and among all the undersigned that the Statement on Schedule 13D filed on or about this date and any further amendments thereto with respect to the beneficial ownership by the undersigned of the shares of common stock, par value $0.001 per share, of AssetMark Financial Holdings, Inc., a Delaware corporation (the “Issuer”),

Amended and Restated Bylaws of the Company

EX-3.1 2 d778015dex31.htm EX-3.1 Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF ASSETMARK FINANCIAL HOLDINGS, INC. Incorporated under the Laws of the State of Delaware As of July 17, 2019 ARTICLE I OFFICES AND RECORDS Section 1.1 Offices. The address of the registered office of AssetMark Financial Holdings, Inc. (the “Corporation”) and the name of the Corporation’s registered agent are as set forth in

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2019 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38980 30-0774039 (State or other jurisdiction of incorporation

Bylaws of the Registrant, as currently in effect

EX-4.2 Exhibit 4.2 AMENDED AND RESTATED BYLAWS OF ASSETMARK FINANCIAL HOLDINGS, INC. Incorporated under the Laws of the State of Delaware As of July 17, 2019 ARTICLE I OFFICES AND RECORDS Section 1.1 Offices. The address of the registered office of AssetMark Financial Holdings, Inc. (the “Corporation”) and the name of the Corporation’s registered agent are as set forth in the Amended and Restated

AMK / AssetMark Financial Holdings, Inc. S-8 - - S-8

S-8 As filed with the Securities and Exchange Commission on July 18, 2019 Registration No.

Our community1 7,600+ 137,000+ 600+ Advisers Investor Households Employees Supported by strong values Heart Integrity Excellence Respect And conducted in a culture of compliance As of March 31, 2019

424B4 Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-232312 Prospectus 12,500,000 shares Common stock This is an initial public offering of shares of common stock of AssetMark Financial Holdings, Inc. We are offering 6,250,000 shares of our common stock. The selling stockholder identified in this prospectus is offering an additional 6,250,000 shares of our common stock. We

Form 8-A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 AssetMark Financial Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 30-0774039 (State of incorporation or organization) (I.R.S. Employer Identification No.) 1655 Gran

AMK / AssetMark Financial Holdings, Inc. CORRESP - -

CORRESP July 15, 2019 VIA EDGAR TRANSMISSION AND FEDEX U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Cara Lubit Mr. Hugh West Mr. Lori Empie Ms. Jessica Livingston Mr. Michael Clampitt Mr. Eric Envall Re: AssetMark Financial Holdings, Inc. Registration Statement on Form S-1 Registration No. 333-232312 Ladies and Gen

AMK / AssetMark Financial Holdings, Inc. CORRESP - -

CORRESP July 15, 2019 VIA EDGAR TRANSMISSION AND FEDEX United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Form of Stock Option Award Notice and Agreement

Exhibit 10.11 ASSETMARK FINANCIAL HOLDINGS, INC. STOCK OPTION AWARD NOTICE AND AGREEMENT This Stock Option Award Notice and Agreement (the “Option Agreement”) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient identified in the Notice below (the “Recipient”). I. STOCK OPTION AWARD NOTICE Recipient: [●] Add

As filed with the Securities and Exchange Commission on July 10, 2019

Table of Contents As filed with the Securities and Exchange Commission on July 10, 2019 Registration No.

2019 Equity Incentive Plan and forms of Restricted Stock Award Agreement and Restricted Stock Unit Award Agreement

Exhibit 10.10 ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN Section 1. Purpose and Eligibility. (a) General Purpose. The purpose of this AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as amended from time to time, the ?Plan?) is to motivate and reward employees and other individuals to perform at the highest level and contribute significantly to the success of Asset

Form of Underwriting Agreement

EX-1.1 Exhibit 1.1 ASSETMARK FINANCIAL HOLDINGS, INC. [] Shares of Common Stock Underwriting Agreement July [], 2019 J.P. Morgan Securities LLC Goldman Sachs & Co. LLC As Representatives of the several Underwriters listed in Schedule 1 hereto c/o J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Ladies and Ge

Credit Agreement by and among the Company, AssetMark Holdings LLC, Credit Suisse AG, Cayman Islands Branch and the lenders party thereto, dated as of November 14, 2018, as amended on June 28, 2019

EX-10.2 7 d658505dex102.htm EX-10.2 Exhibit 10.2 CREDIT AGREEMENT dated as of November 14, 2018, As amended by that certain First Amendment Dated as of June 28, 2019 among ASSETMARK FINANCIAL HOLDINGS, INC., as Borrower, ASSETMARK HOLDINGS LLC, as Holdings, THE LENDERS PARTY HERETO and CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH, as Administrative Agent and Collateral Agent CREDIT SUISSE LOAN FUNDING

Bylaws of the Company, f/k/a AqGen Liberty Management II, as currently in effect

EX-3.2 3 d658505dex32.htm EX-3.2 Exhibit 3.2 BYLAWS OF AQGEN LIBERTY MANAGEMENT II, INC. (a Delaware corporation) ARTICLE I Stockholders SECTION 1. Annual Meetings. The annual meeting of stockholders for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held each year at such date and time, within or without the State of Delaw

Amended and Restated Certificate of Incorporation of the Company

Exhibit 3.1 Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE RESTATED CERTIFICATE OF ?ASSETMARK FINANCIAL HOLDINGS, INC.?, FILED IN THIS OFFICE ON THE FIFTH DAY OF JULY, A.D. 2019, AT 12:38 O?CLOCK P.M. A FILED COPY OF THIS CERTIFICATE HAS BEEN FORWARDED TO THE NEW CASTLE COUNTY RECORDER OF

2019 Equity Incentive Plan, and forms of Restricted Stock Award Agreement and Restricted Stock Unit Award Agreement, to be in effect upon the pricing of this offering

Exhibit 10.10 ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN Section 1. Purpose and Eligibility. (a) General Purpose. The purpose of this AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as amended from time to time, the ?Plan?) is to motivate and reward employees and other individuals to perform at the highest level and contribute significantly to the success of Asset

As filed with the Securities and Exchange Commission on July 8, 2019

Table of Contents As filed with the Securities and Exchange Commission on July 8, 2019 Registration No.

Form of Common Stock Certificate

EX-4.1 5 d658505dex41.htm EX-4.1 Exhibit 4.1 ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS# COMMON Shares COMMON Shares PAR VALUE $0.001 Certificate Shares Number * * 000000 ****************** * * * 000000 ***************** ZQ00000000 **** 000000 **************** ASSETMARK FINANCIAL HOLDINGS, INC. ***** 000000 *************** ****** 000000 ************** INCORPORATED UNDER THE LAWS OF THE STA

Form of Amended and Restated Bylaws of the Company, to be in effect upon the pricing of this offering

EX-3.3 4 d658505dex33.htm EX-3.3 Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF ASSETMARK FINANCIAL HOLDINGS, INC. Incorporated under the Laws of the State of Delaware As of [ ], 2019 ARTICLE I OFFICES AND RECORDS Section 1.1 Offices. The address of the registered office of AssetMark Financial Holdings, Inc. (the “Corporation”) and the name of the Corporation’s registered agent are as set forth in the

AMK / AssetMark Financial Holdings, Inc. CORRESP - -

CORRESP New York Northern California Washington DC São Paulo London Paris Madrid Tokyo Beijing Hong Kong Alan F.

Bylaws of the Company, f/k/a AqGen Liberty Management II, as currently in effect

EX-3.3 3 d658505dex33.htm EX-3.3 Exhibit 3.3 BYLAWS OF AQGEN LIBERTY MANAGEMENT II, INC. (a Delaware corporation) ARTICLE I Stockholders SECTION 1. Annual Meetings. The annual meeting of stockholders for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held each year at such date and time, within or without the State of Delaw

AMK / AssetMark Financial Holdings, Inc. CORRESP - -

CORRESP New York Northern California Washington DC São Paulo London Paris Madrid Tokyo Beijing Hong Kong Alan F.

Deferred Compensation Plan, dated January 1, 2017

EX-10.8 12 d658505dex108.htm EX-10.8 Exhibit 10.8 ASSETMARK FINANCIAL DEFERRED COMPENSATION PLAN PLAN DESCRIPTION January 1, 2017 Copyright 2002-2016 Professional Capital Services, LLC 1 Copyright 2002-2016 Professional Capital Services, LLC ASSETMARK FINANCIAL DEFERRED COMPENSATION PLAN PLAN DESCRIPTION TABLE OF CONTENTS INTRODUCTION 1 ELIGIBILITY FOR PARTICIPATION 1 Eligible Employee 1 Date of P

2019 Equity Incentive Plan

EX-10.10 14 d658505dex1010.htm EX-10.10 Exhibit 10.10 ASSETMARK FINANCIAL HOLDINGS, INC. 2019 EQUITY INCENTIVE PLAN Section 1. Purpose and Eligibility. (a) General Purpose. The purpose of this AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as amended from time to time, the “Plan”) is to motivate and reward employees and other individuals to perform at the highest level and contribu

Amended and Restated Employment Agreement by and between the Company and Charles Goldman, dated October 31, 2016

EX-10.14 18 d658505dex1014.htm EX-10.14 Exhibit 10.14 EXECUTION VERSION AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (as so amended and restated, this “Agreement”) is made and entered into as of this 31st day of October, 2016, by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the “Company”), and Charles Goldman (“Executive”). W I

Subsidiaries of the Company

EX-21.1 21 d658505dex211.htm EX-21.1 Exhibit 21.1 Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Incorporation AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Brokerage, LLC Delaware AssetMark Retirement Services, Inc. Pennsylvania Global Financial Private Capital, LLC Florida Global Financial Advisory, LLC Delaware

Master Services Agreement, dated April 18, 2017, by and between AssetMark, Inc. and Incedo Inc.

Exhibit 10.6 Master Services Agreement between AssetMark and Consultant This Master Services Agreement is effective as of the ?Effective Date? specified on the signatures page of this Master Services Agreement and is between AssetMark, Inc., or the AssetMark Affiliate identified on the signature page (?AssetMark?) and the individual or entity identified on the signature page (each a ?Party?). In c

Master Services Agreement, dated August 1, 2017, by and between AssetMark, Inc. and Incedo, Inc. d/b/a IB Technology Solutions Inc.

Exhibit 10.7 The redacted information has been excluded because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. MASTER SERVICES AGREEMENT THIS MASTER SERVICES AGREEMENT (?Agreement?) is by and between Incedo, Inc. dba IB Technology Solutions Inc., a Delaware Corporation (?Supplier?), with offices at 2350 Mission College Blvd, Suite# 246, Santa Clara, CA 9

TrustNet Software License Agreement by and between HWA International, Inc. and the Company, f/k/a Centurion Trust Company, dated June 1, 1995, as amended on January 8, 1999, and as further amended on June 9, 2008, October 27, 2009, September 27, 2017 and November 8, 2018

Exhibit 10.3 The redacted information has been excluded because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. HWA INTERNATIONAL, INC./CENTURION TRUST COMPANY TRUSTNET SOFTWARE LICENSE AGREEMENT Upon this Agreement becoming effective as provided in Section 20 (the ?Effective Date?), HWA International, Inc. (?Licensor?), whose address is 2525 Horizon Lake

Certificate of Incorporation of the Company, f/k/a AqGen Liberty Management II, as currently in effect

EX-3.1 2 d658505dex31.htm EX-3.1 Exhibit 3.1 I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF INCORPORATION OF “AQGEN LIBERTY MANAGEMENT II, INC.”, FILED IN THIS OFFICE ON THE TWENTY-FIFTH DAY OF MARCH, A.D. 2013, AT 12:42 O’CLOCK P.M. A FILED COPY OF THIS CERTIFICATE HAS BEEN FORWARDED TO THE NEW CA

Form of Indemnification Agreement between the Company and each of its directors and executive officers

Exhibit 10.12 FORM OF INDEMNIFICATION AGREEMENT This Indemnification Agreement (this ?Agreement?) is made and entered into as of the day of , 20 , by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the ?Company?) and (?Indemnitee?). W I T N E S S E T H: WHEREAS, highly competent persons have become more reluctant to serve publicly-held corporations as directors or officers

Lease for facilities at 1655 Grant Street, Concord, California, dated May 29, 2013 and amended on May 13, 2015 and March 14, 2018

Exhibit 10.1 OFFICE LEASE 1655 GRANT STREET, CONCORD, CALIFORNIA SFG OWNER A, LLC a Delaware limited liability company, as Landlord, and GENWORTH FINANCIAL WEALTH MANAGEMENT, INC., a California corporation, as Tenant 1655 Grant Street Genworth Financial Wealth Management, Inc. TABLE OF CONTENTS Page ARTICLE 1 PREMISES, BUILDING, PROJECT, AND COMMON AREAS 1 ARTICLE 2 LEASE TERM; OPTION TERMS 2 ARTI

Subcustodial and Services Agreement by and among Fidelity Brokerage Services LLC, National Financial Services LLC and AssetMark Trust Company, dated as of November 1, 2005, as amended on February 22, 2007, and as further amended on December 13, 2011, June 23, 2015, July 23, 2015, June 1, 2018 and November 1, 2018

EX-10.4 8 d658505dex104.htm EX-10.4 Exhibit 10.4 The redacted information has been excluded because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. SUBCUSTODIAL AND SERVICE AGREEMENT This Agreement (“Agreement”) is entered into by and among GE Financial Trust Company (“GEFTC”) and Fidelity Brokerage Services LLC (“FBS”) and National Financial Services LLC

Form of Stock Option Award Notice and Agreement

EX-10.11 15 d658505dex1011.htm EX-10.11 Exhibit 10.11 ASSETMARK FINANCIAL HOLDINGS, INC. STOCK OPTION AWARD NOTICE AND AGREEMENT This Stock Option Award Notice and Agreement (the “Option Agreement”) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient identified in the Notice below (the “Recipient”). I. STOC

AssetMark Layoff Plan Summary, dated October 25, 2016, as currently in effect

EX-10.13 17 d658505dex1013.htm EX-10.13 Exhibit 10.13 AssetMark Layoff Plan Summary Owner: Human Resources Applies To: All Employees Effective: October 25, 2016 Introduction The Layoff Plan is designed to provide a package of benefits to help you and your family through a job transition following a layoff. This section of the summary provides details about the benefits available to eligible employ

CheckFree APL Master Agreement by and between CheckFree Services Corporation and the Company, f/k/a Genworth Financial Wealth Management, Inc., dated June 23, 2006, as amended on December 2, 2010, and as further amended on September 7, 2011, August 1, 2012, January 1, 2013, April 11, 2013, June 17, 2014, September 23, 2014, November 22, 2014, December 22, 2014, January 21, 2015, March 27, 2015, April 27, 2015, April 30, 2015, June 14, 2015, December 16, 2015 and March 9, 2017

EX-10.5 9 d658505dex105.htm EX-10.5 Exhibit 10.5 The redacted information has been excluded because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. CHECKFREE APL MASTER AGREEMENT This CheckFree APL Master Agreement (“Agreement”) is made between CheckFree Investment Services, a division of CheckFree Services Corporation, a Delaware corporation with a place

Form of Service Member Unit Issuance Agreement

EX-10.9 13 d658505dex109.htm EX-10.9 Exhibit 10.9 AssetMark Holdings, LLC SERVICE MEMBER UNIT ISSUANCE AGREEMENT (Incentive Units) THIS SERVICE MEMBER UNIT ISSUANCE AGREEMENT (this “Agreement”) by and between AssetMark Holdings, LLC, a Delaware limited liability company (the “Company”), and the individual (“Service Member”) named on the Master Signature Page (as defined below) hereto is made as of

Offer Letter with Jeremiah Chafkin, dated July 30, 2014

Exhibit 10.15 July 30, 2014 Jerry Chafkin [***] Dear Mr. Chafkin: Congratulations! We are excited that you?ve decided to join a team of talented and enthusiastic professionals who share a vision of serving advisors who make a difference in the lives of clients. We?re very pleased to offer you the position of Chief Investment Officer, reporting to Charles Goldman, CEO at AssetMark Financial, Inc. a

Offer Letter with Michael Kim, dated July 12, 2013

Exhibit 10.16 July 12, 2013 Michael Kim [***] Re: Contingent Offer of Employment Dear Michael As you are aware, entities controlled by private equity firms Aquiline Capital Partners LLC and Genstar Capital, LLC have entered into an agreement to purchase Genworth Financial Wealth Management, Inc. (?GFWM?), Genworth Financial Trust Company, and their holding company Centurion Capital Group, Inc. fro

Registration Rights Agreement by and between the Company and Huatai International Investment Holdings Limited, dated as of July 17, 2019

EX-4.2 4 d658505dex42.htm EX-4.2 Exhibit 4.2 REGISTRATION RIGHTS AGREEMENT by and between AssetMark Financial Holdings, Inc. and Huatai International Investment Holdings Limited Dated as of [ ], 2019 TABLE OF CONTENTS PAGE Section 1. Certain Definitions 1 Section 2. Demand Registration 5 Section 3. Piggyback Registrations 8 Section 4. Lock-up Arrangements 9 Section 5. Participating in Underwritten

Power of Attorney

Table of Contents As filed with the Securities and Exchange Commission on June 24, 2019 Registration No.

Credit Agreement by and among the Company, AssetMark Holdings LLC, Credit Suisse AG, Cayman Islands Branch and the lenders party thereto, dated as of November 14, 2018

EX-10.2 6 d658505dex102.htm EX-10.2 Exhibit 10.2 CREDIT AGREEMENT dated as of November 14, 2018, among ASSETMARK FINANCIAL HOLDINGS, INC., as Borrower, ASSETMARK HOLDINGS LLC, as Holdings, THE LENDERS PARTY HERETO and CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH, as Administrative Agent and Collateral Agent CREDIT SUISSE LOAN FUNDING LLC, as Sole Lead Arranger and Bookrunner TABLE OF CONTENTS Page ARTI

FORM OF INDEMNIFICATION AGREEMENT

EX-10.12 Exhibit 10.12 FORM OF INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is made and entered into as of the day of , 20 , by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the “Company”) and (“Indemnitee”). W I T N E S S E T H: WHEREAS, highly competent persons have become more reluctant to serve publicly-held corporations as directors or

BYLAWS AQGEN LIBERTY MANAGEMENT II, INC. (a Delaware corporation) ARTICLE I

EX-3.3 3 filename3.htm Exhibit 3.3 BYLAWS OF AQGEN LIBERTY MANAGEMENT II, INC. (a Delaware corporation) ARTICLE I Stockholders SECTION 1. Annual Meetings. The annual meeting of stockholders for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held each year at such date and time, within or without the State of Delaware, as th

1655 Grant Street, 10th Floor, Concord, CA 94520

Exhibit 10.15 July 30, 2014 Jerry Chafkin [***] Dear Mr. Chafkin: Congratulations! We are excited that you?ve decided to join a team of talented and enthusiastic professionals who share a vision of serving advisors who make a difference in the lives of clients. We?re very pleased to offer you the position of Chief Investment Officer, reporting to Charles Goldman, CEO at AssetMark Financial, Inc. a

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.14 EXECUTION VERSION AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (as so amended and restated, this ?Agreement?) is made and entered into as of this 31st day of October, 2016, by and between AssetMark Financial Holdings, Inc., a Delaware corporation (the ?Company?), and Charles Goldman (?Executive?). W I T N E S S E T H: WHEREAS, the Company a

CREDIT AGREEMENT dated as of November 14, 2018, ASSETMARK FINANCIAL HOLDINGS, INC., as Borrower, ASSETMARK HOLDINGS LLC, as Holdings, THE LENDERS PARTY HERETO CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH, as Administrative Agent and Collateral Agent CREDI

Exhibit 10.2 CREDIT AGREEMENT dated as of November 14, 2018, among ASSETMARK FINANCIAL HOLDINGS, INC., as Borrower, ASSETMARK HOLDINGS LLC, as Holdings, THE LENDERS PARTY HERETO and CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH, as Administrative Agent and Collateral Agent CREDIT SUISSE LOAN FUNDING LLC, as Sole Lead Arranger and Bookrunner TABLE OF CONTENTS Page ARTICLE I DEFINITIONS Section 1.01 Defin

CERTIFICATE OF INCORPORATION AQGEN LIBERTY MANAGEMENT II, INC. ARTICLE I.

Exhibit 3.1 I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF INCORPORATION OF ?AQGEN LIBERTY MANAGEMENT II, INC.?, FILED IN THIS OFFICE ON THE TWENTY-FIFTH DAY OF MARCH, A.D. 2013, AT 12:42 O?CLOCK P.M. A FILED COPY OF THIS CERTIFICATE HAS BEEN FORWARDED TO THE NEW CASTLE COUNTY RECORDER OF DEEDS. CE

July 12, 2013

Exhibit 10.16 July 12, 2013 Michael Kim [***] Re: Contingent Offer of Employment Dear Michael As you are aware, entities controlled by private equity firms Aquiline Capital Partners LLC and Genstar Capital, LLC have entered into an agreement to purchase Genworth Financial Wealth Management, Inc. (?GFWM?), Genworth Financial Trust Company, and their holding company Centurion Capital Group, Inc. fro

As confidentially submitted to the Securities and Exchange Commission on May 31, 2019

Table of Contents As confidentially submitted to the Securities and Exchange Commission on May 31, 2019 Registration No.

OFFICE LEASE 1655 GRANT STREET, CONCORD, CALIFORNIA SFG OWNER A, LLC a Delaware limited liability company, as Landlord, GENWORTH FINANCIAL WEALTH MANAGEMENT, INC., a California corporation, as Tenant 1655 Grant Street Genworth Financial Wealth Manage

EX-10.1 4 filename4.htm Exhibit 10.1 OFFICE LEASE 1655 GRANT STREET, CONCORD, CALIFORNIA SFG OWNER A, LLC a Delaware limited liability company, as Landlord, and GENWORTH FINANCIAL WEALTH MANAGEMENT, INC., a California corporation, as Tenant 1655 Grant Street Genworth Financial Wealth Management, Inc. TABLE OF CONTENTS Page ARTICLE 1 PREMISES, BUILDING, PROJECT, AND COMMON AREAS 1 ARTICLE 2 LEASE T

Master Services Agreement

EX-10.6 7 filename7.htm Exhibit 10.6 Master Services Agreement between AssetMark and Consultant This Master Services Agreement is effective as of the “Effective Date” specified on the signatures page of this Master Services Agreement and is between AssetMark, Inc., or the AssetMark Affiliate identified on the signature page (“AssetMark”) and the individual or entity identified on the signature pag

MASTER SERVICES AGREEMENT

Exhibit 10.7 The redacted information has been excluded because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. MASTER SERVICES AGREEMENT THIS MASTER SERVICES AGREEMENT (?Agreement?) is by and between Incedo, Inc. dba IB Technology Solutions Inc., a Delaware Corporation (?Supplier?), with offices at 2350 Mission College Blvd, Suite# 246, Santa Clara, CA 9

Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Incorporation AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Brokerage, LLC Delaware AssetMark Retirement Services, Inc. Pennsyl

Exhibit 21.1 Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Incorporation AssetMark Financial, Inc. Arizona AssetMark, Inc. California AssetMark Trust Company Arizona AssetMark Brokerage, LLC Delaware AssetMark Retirement Services, Inc. Pennsylvania Global Financial Private Capital, LLC Florida Global Financial Advisory, LLC Delaware AlphaPeak Services, LLC Delaware

AssetMark Layoff Plan Summary

EX-10.13 Exhibit 10.13 AssetMark Layoff Plan Summary Owner: Human Resources Applies To: All Employees Effective: October 25, 2016 Introduction The Layoff Plan is designed to provide a package of benefits to help you and your family through a job transition following a layoff. This section of the summary provides details about the benefits available to eligible employees in the event of a layoff. D