California Privacy Policy

For AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc. and AssetMark Brokerage, LLC

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.

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

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.

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.

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.

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).

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.

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.

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

Service providers.

Professional or employment-related data, such as your work history and income.

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

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.

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

Service providers.

Notice at Collection of Personal Information

We want you to understand the categories of personal information we collect and the purposes for which the information will be used. We do not sell your personal information.

CATEGORIES OF PERSONAL INFORMATION WE COLLECT	PURPOSE FOR WHICH THE PERSONAL INFORMATION WILL BE USED
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.	To maintain and service your accounts and to provide financial products and services to you. 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.
Additional personal information such as age, citizenship, marital status, medical condition, physical or mental disability, gender.	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.
Financial information such as information about your assets and liabilities that you hold with other financial institutions.	To provide financial products and services to you. To market financial products and services to you.
Commercial information, such as products or services purchased or considered.	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.
Internet or other electronic network activity, such as your interaction with our website and, if applicable, your interactions with your account(s).	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.
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.	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.
Professional or employment-related data, such as your work history and income.	To provide financial products and services to you. To maintain and service your account(s). To market financial products and services to you.
Inferences drawn from any of the information that we collect about you to create a profile about you and your preferences.	To provide financial products and services to you. To maintain and service your account(s). To market financial products and services to you.

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:

We will verify your identity through our existing authentication practices for your account. We also will require you to re-authenticate yourself before we will disclose or delete your California Personal Information. If we suspect fraudulent or malicious activity on or from your password-protected account, we may use additional procedures to verify your identity.

If you do not maintain a password-protected account with us:

If you submit a request to know categories of California Personal Information that we have collected about you, we will match at least two pieces of personal information provided by you with personal information maintained by us, which we have determined are reliable for the purpose of verifying your identity. In some instances, there is no reasonable method by which we can verify the identity of the consumer to the degree required. This is the case, for example, if you visit our website but do not log into your account. In that circumstance, we collect your IP address and may also collect a unique identifier for your device, but we do not associate this information with any named actual person or account.
If you submit a request to know specific pieces of California Personal Information that we have collected about you, we will match at least three pieces of personal information provided by you with personal information maintained by us, together with a signed declaration under penalty of perjury from you stating that you are the individual whose personal information is the subject of the request.
If you submit a request to delete California Personal Information, the manner in which we will verify your identity will depend on the sensitivity of the California Personal Information and the risk of harm to the individual by its unauthorized deletion. If the California Personal Information is not sensitive, we will match at least two pieces of personal information provided by you with personal information maintained by us, which we have determined are reliable. If the California Personal Information is sensitive, we will match at least three pieces of personal information provided by you with personal information maintained by us, together with a signed declaration under penalty of perjury that you are the consumer whose California Personal Information is the subject of the request.

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

Date updated: January 15, 2021