Client Privacy Policy

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


 

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FACTS What do AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc., and AssetMark Brokerage, LLC do with your personal information?
Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What?

The types of personal information we collect, and share depend on the products or services you have with us. This information can include:

  • Social Security number
  • Assets and account balances
  • Transaction history and investment experience
  • Checking account information

When you are no longer our customer, we continue to share your information as described in this notice.

How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons we choose to share; and whether you can limit this sharing.

 


Reasons we can share your personal information Do we share? Can you limit this sharing?
For our everyday business purposes — such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus. Yes No
For our marketing purposes — to offer our products and services to you. Yes No
For joint marketing with other financial companies. No We don't share
For our affiliates’ everyday business purposes — information about your transactions and experiences. Yes No
For our affiliates’ everyday business purposes — information about your creditworthiness. No We don't share
For our affiliates to market to you. No We don't share
For non-affiliates to market to you. No We don't share
Questions? Toll Free: (800) 664-5345

Who We Are

Who is providing this notice?

AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc., and AssetMark Brokerage, LLC
What We Do
How do AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc., and AssetMark Brokerage, LLC protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How do AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc., and AssetMark Brokerage, LLC collect my personal information?

We collect your personal information, for example, when you:

  • Open an account or seek advice about your investments
  • Enter into an investment advisory contract
  • Tell us where to send the money
  • Show your government-issued ID

We also collect your personal information from others, such as credit bureaus, affiliates, or other companies.

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes-information about your creditworthiness
  • Affiliates from using your information to market to you
  • Sharing for non-affiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.

Definitions
Affiliates

Companies related by common ownership or control. They can be financial and non-financial companies.

  • Our affiliates include AssetMark, Inc., AssetMark Trust Company, AssetMark Retirement Services, Inc., AssetMark Brokerage, LLC, Global Financial Private Capital, Inc., and Global Financial Advisory, LLC.
Non-affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • We do not share with non-affiliates so they can market to you.
Joint Marketing

A formal agreement between non-affiliated financial companies that together market financial products or services to you.

  • We do not jointly market.
Other Important Information

For California residents only. The personal information we collect about you in connection with providing financial products and services to you is protected by federal privacy laws. California residents have additional rights over personal information that we collect for purposes other than providing financial products and services to you. For an explanation of your the rights available to California residents, please see our “California Privacy Policy.”

For Nevada residents only. We are providing you this additional notice under state law. You may be placed on our internal Do Not Call List by calling us at (800) 664-5345. Nevada law requires we provide the following contact information: Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101; Phone number: (702) 486-3132; email: aginfo@ag.nv.gov. AssetMark, Inc., 1655 Grant Street, 10th Floor, Concord, CA 94520-2445. Tel: (800) 664-5345

©2020 AssetMark, Inc. All rights reserved. AssetMark, Inc. is an investment adviser registered with the U.S. Securities and Exchange Commission. AssetMark Trust Company is a trust company licensed by the Arizona Department of Financial Institutions.
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