California Privacy Policy

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

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Additional information for California residents.

As a California resident, you have additional rights over the personal information that we collect about you that is not already protected by existing federal privacy laws (“California Personal Information”). This California Privacy Policy describes the California Personal Information we collect about you, the rights you have with respect to that information, and how you can exercise those rights.

What California Personal Information have we collected about you in the last 12 months, why do we collect it, and who have we shared it with?

• When you visit our website. We collect information from you using “cookies.” (For information on our Cookie Policy, see our Online Privacy and Security Notice.) These cookies provide us with information about your visit to our website, such as your Internet Protocol (IP) address, the type of browser and operating system you used to access our website, the date and time of your visit, the pages you visited, and any previous website you accessed to reach our website. We use this information to improve your experience on our website, to track visits to our website and to see how visitors move about the pages. We share this information with our service providers who manage our website, analyze activity on our website, and audit it for security purposes. We may also use this information to deliver our advertisements to you, and we may share this information with our service providers who provide us with advertising and marketing services. If you visit our website and do not have an, or do not log into your, AssetMark account, the information we collect in this manner is aggregated and is not personally identifiable to you. If you visit our website while you are logged into your AssetMark account, this information is protected by federal privacy laws.

• When you do not have an account with us, and you request a prospectus, an investment adviser brochure, or other information about financial products or services. We collect your name, e-mail address, mailing address, and general areas of investment interest. We collect this information to respond to your request and to provide you with the information and materials you requested. We may also use this information for our marketing purposes and to deliver our advertisements to you. We may share this information with our service providers who send information to people on our behalf. We may also share this information with our service providers who provide us with advertising and marketing services. Our service providers are prohibited from using your personal information for any purpose other than performing these services for us.

Have we sold your personal information in the last 12 months?

No. We do not and will not sell your personal information.

Do we sell personal information of minors under 16 years of age without affirmative authorization?

No.

What rights do you have regarding California Personal Information that we have collected in the last 12 months?

Upon our receipt of your verifiable consumer request, we will respond to your request to the extent that your California Personal Information has been retained in the ordinary course of business, is identifiable to you, and has been maintained in a manner that would be considered personal information,

• Right to Know: You have the right to request that we inform you of (1) the categories of California Personal Information we have collected about you, (2) the categories of sources from which the California Personal Information is collected, (3) the business or commercial purpose for collecting the California Personal Information, (4) the categories of third persons to whom we sold or disclosed each category of California Personal Information for a business purpose; and (5) the business or commercial purpose for which we sold or disclosed the California Personal Information. You also have the right to request that we inform you of the specific pieces of California Personal Information we have collected about you. We have the right to deny your request in certain circumstances.
• Right to Request Deletion of Personal Information: You have the right to request that we delete California Personal Information that we have collected from you. We have the right to deny your request to delete in certain circumstances.
• Right to Nondiscrimination: You have the right to not be denied goods or services or charged different prices because you have exercised your rights under the California Consumer Privacy Act.

You may submit a request to know or delete California Personal Information by calling (833) 620-0416, or by completing the interactive web form.

How do we verify your request to know or request to delete California Personal Information?

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 what type of request you are making. 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 verify your identity to a reasonable degree of certainty. This means that 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 verify your identity to a reasonably high degree of certainty. This means that 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.

Additional information about requests to know and requests to delete California Personal Information:

• We are not obligated to respond to a request to know California Personal Information submitted by or on behalf of the same consumer more than twice in a 12-month period.
• If we cannot verify that the person submitting or authorizing a request to know is the person about whom we have collected California Personal Information, we are not obligated to provide California Personal Information in response to the request to know.
• In responding to a request to know California Personal Information, we will not disclose an individual’s Social Security number, driver’s license number or other government-issued identification number, financial account number, health insurance or medical identification number, account password or security questions and answers.
• If we cannot verify that the person submitting or authorizing a request to delete California Personal Information is the person from whom we have collected information, we will deny the request to delete.

Can your authorized agent submit a request to know or request to delete California Personal Information on your behalf?

Yes. If you use an authorized agent to submit a request to know or delete California Personal Information, we will require that you (1) provide your authorized agent with written permission to submit a request to know or to delete California Personal Information on your behalf, and (2) verify your identity with us, using the methods described above. We may deny a request from an agent who fails to submit proof that they have been authorized by you to act on your behalf.

Contact for more information.

If you have questions or concerns about our privacy policies and practices, you may contact us at (833) 620-0416.

Date updated: January 1, 2020