For AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc. and AssetMark Brokerage, LLC
California Notice at Collection of Personal Information »
Information for California Residents
AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc. and AssetMark Brokerage, LLC (collectively, “AssetMark,” also referred to as “we” and “us”) collect personal information (“PI”) for a variety of reasons, as detailed in this Policy.
As a California resident, you have additional rights over the PI that we collect about you that is not already protected by existing federal privacy laws. This is your “California Personal Information”. This California Privacy Policy describes the PI, including the California Personal Information, that AssetMark collects about you, the rights you may have with respect to the California Personal Information, and how you can exercise those rights.
Right to Know
You have the right to request that we disclose what California Personal Information we collect, use, disclose and sell. PLEASE NOTE: AssetMark does not sell your personal information.
The following table lists the categories of PI we may have collected about you in the last 12 months and other important information. Some of this PI may be deemed California Personal Information, to which you have additional rights.
CATEGORIES OF PI COLLECTED IN THE PAST 12 MONTHS | CATEGORIES OF SOURCES FROM WHICH WE COLLECT PI | BUSINESS OR COMMERCIAL PURPOSE FOR COLLECTING THE PI | PI DISCLOSED FOR A BUSINESS PURPOSE? | CATEGORIES OF THIRD PARTIES TO WHOM WE DISCLOSE PI FOR A BUSINESS PURPOSE |
Identifiers, such as your name, address, Internet Protocol (IP) address, unique personal identifier (device identifier), e-mail address, account name, social security number, driver’s license number, passport number, membership number(s), telephone number(s) and signature.
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From you, when you open an account with us, visit our website, request information, or join our mailing list. From your financial advisor when you open an account on the AssetMark platform. From third parties, such as credit bureaus, affiliates, and other companies. |
To maintain and service your accounts and to provide financial products and services to you. To comply with legal requirements. To respond to your requests and provide service. To market financial products and services to you. To detect fraud and security incidents and analyze activity on our website. |
Yes
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Service providers with whom we have contracts to provide services to us, such as effecting transactions on your behalf; maintaining and servicing your accounts; marketing our products and services; managing our client relationships; analyzing activity on our website; maintaining the security, confidentiality and integrity of our systems and detecting fraud. Financial institutions with whom we have a written agreement to jointly market financial products and services to our clients. |
Additional personal information such as age, citizenship, marital status, medical condition, physical or mental disability, gender.
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From you, when you open and maintain accounts with us, and provide this information to us. From your financial advisor when you open an account on the AssetMark platform. From third parties, such as credit bureaus, affiliates, and other companies. |
To maintain and service your accounts and provide financial products and services to you. To respond to your requests and provide service. To market financial products and services to you. |
Yes
|
Service providers. Financial institutions with whom we have a written agreement to jointly market financial products and services to our clients. |
Financial information such as information about your assets and liabilities that you hold with other financial institutions.
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From you, when you open and maintain accounts with us, or when you utilize third party financial planning tools offered through AssetMark and provide this information to us. From third parties, such as financial advisors, other financial services firms, and other companies. |
To provide financial products and services to you. To market financial products and services to you. |
Yes
|
Service providers. Financial institutions with whom we have a written agreement to jointly market financial products and services to our clients. |
Commercial information, such as products or services purchased or considered.
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From you, when you open and maintain accounts with us, provide information to us, seek financial advice or buy or sell securities. From your financial advisor when you open an account on the AssetMark platform. From third parties, such as credit bureaus, affiliates, and other companies. |
To maintain and service your accounts and provide financial products and services to you. To respond to your requests and provide service. To market financial products and services to you. |
Yes
|
Service providers. Financial institutions with whom we have a written agreement to jointly market financial products and services to our clients. |
Internet or other electronic network activity, such as your interaction with our websites and, if applicable, your interactions with your account(s).
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From you, when you visit our website(s) and when you log into your account(s). From our service providers who monitor our websites and electronic account activity. |
To provide financial products and services to you. To maintain and service your account(s). To respond to your requests and provide service. To detect fraud and security incidents and analyze activity on our websites. To improve our website. To market financial products and services to you. |
Yes
|
Service providers.
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Audio, electronic and visual information, such as voice recordings when you call us on a recorded line, or your photograph if you visit a location with security cameras.
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From you, such as when you call us on a recorded line, or when you visit a location with security cameras. From our service providers who assist us with customer service and security. |
To provide financial products and services to you. To provide customer service and maintain accounts. To detect fraud and security incidents, and to prosecute those responsible. To maintain the security of our premises. |
Yes
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Service providers.
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Professional or employment-related data, such as your work history and income.
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From you, when you open and maintain accounts with us, and when you provide this information to us. From your financial advisor when you open an account on the AssetMark platform. From third parties, such as credit bureaus, affiliates, and other companies. |
To provide financial products and services to you. To maintain and service your account(s). To market financial products and services to you. |
Yes
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Service providers. Financial institutions with whom we have a written agreement to jointly market financial products and services to our clients. |
Inferences drawn from any of the information that we collect about you to create a profile about you and your preferences.
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From you, when you open and maintain accounts with us, provide information to us, visit our website, sign up for our newsletters or respond to our surveys. From third parties, such as credit bureaus, affiliates, and other companies. |
To provide financial products and services to you. To maintain and service your account(s). To market financial products and services to you. |
Yes
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Service providers.
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Right to Request Deletion of California Personal Information
You have the right to request that we delete California Personal Information that we have collected from you.
Instructions for Submitting a Request to Know or a Request to Delete
You may submit a request to know or delete California Personal Information by calling 833-620-0416 (toll free), or by completing the interactive web form.
Before we can grant your request to know or delete California Personal Information, we are required to verify your identity. Our verification process depends on whether you maintain a password-protected account with us, and what type of request you are making.
If you maintain a password-protected account with us:
If you do not maintain a password-protected account with us:
You may designate an authorized agent to submit a request on your behalf. You have the right to authorize another person to submit a request to know your personal information or to delete your personal information. To have another person submit a request on your behalf, you or they may call us at 833-620-0416 (toll free) or complete the interactive web form. You will need to provide us with written permission authorizing the other person to submit a request to know or delete on your behalf. We will give you instructions on how to send the written authorization to us. We will still verify your identity and will verify that you have given your authority to another person.
Right to Opt-Out of the Sale of Your PI
Where a business sells your PI, you have the right to opt-out of the sale of that information. PLEASE NOTE: AssetMark has not sold and does not sell your PI. Additionally, AssetMark does not have actual knowledge that it sells the personal information of minors under 16 years of age.
Right to Non-Discrimination for the Exercise of a Consumer’s Privacy Right
You have the right not to receive discriminatory treatment from us because you have exercised your privacy rights. This means that you have the right not to be denied goods or services, or charged different prices, just because you have exercised your privacy rights.
Contact for More Information
If you have questions or concerns about our privacy policies and practices, you may call us at 833-620-0416 (toll free) or email us at CCPACompliance@assetmark.com
Last updated: March 25, 2021
AssetMark, Inc. ("AssetMark") is a leading provider of extensive wealth management and technology solutions that help financial advisors meet the ever-changing needs of their clients and businesses. The information on this website is for informational purposes only and is intended as an overview of the services offered to financial advisors, not a solicitation for investment. Information has been drawn from sources believed to be reliable, but its accuracy is not guaranteed and is subject to change.
Advisors seeking more information about AssetMark’s services should contact us; individual investors should consult with their financial advisor.
AssetMark is an investment adviser registered with the U.S. Securities and Exchange Commission and a subsidiary of AssetMark Financial Holdings, Inc. (NYSE: AMK) of which Huatai Securities Co., Ltd. is a controlling shareholder. Visit our ownership page for more information.
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