Gain Independence without Losing Stability

Financial advisors interested in transitioning into an RIA don’t have to do it alone when they work with AssetMark.

End-to-End Support

Manage Your Practice; Not Your Transition

Financial advisors that work with AssetMark during their transition to RIA hit the ground running. We’ll facilitate all of the challenging aspects of transitioning—from compliance to tech stack implementation, marketing, client outreach, and more.

How We’ll Help

Make Your Transition Free From Anxiety

For all financial advisors—but especially those leaving an employer—compliance is a significant concern. No matter where you’re starting from, we’ll make sure that you complete your RIA journey in a manner that maintains compliance with federal, state and local laws as well as your contractual obligations to your employer. The AssetMark team has a rich network of compliance professionals that can guide you through this process.

Support on interpreting the Broker Protocol and contractual agreements
Guidance on local regulations, such as SEC filing and obtaining surety bonds
Assistance in crafting compliant client communications

Provide Cutting-Edge Client Services

As an independent RIA, you’ll finally be able to deliver your services in the manner of your choosing. Advisors that work with AssetMark gain access to a wide spectrum of investment management strategies, assistance with advanced planning services, and sophisticated technology that supports it all. RIAs just have to choose what they want to offer their clients.

Compelling digital experiences, data visualization, and portfolio management tools
Support for investment management, retirement services, estate planning, and other advanced planning services
Business consultation services focused on elevating the client experience

Grow Your Business without Working Weekends

Becoming an RIA means becoming a business owner, which can be a lot to pile on top of your existing client responsibilities. Working with AssetMark means gaining access to a wealth of business development professionals that can help you target your efforts to make the biggest impact on your business without forcing you to work overtime. Use our collective technical, marketing, sales, and operations insights to take your business to new heights.

Tailored back-, middle-, and front-office support that enables you to focus on your specialty, no matter where your interest lies
Targeted business consulting that identifies low-effort, high-impact development opportunities
Marketing and prospecting support that ensures consistent pipeline growth

Why AssetMark

We’re Here to Help

You tailor your advice to your client’s unique needs; AssetMark will do the same for you. Whatever obstacles you face in establishing your practice — whether that’s spending less time on business processes and more on your clients, performing portfolio research or adopting the right technology for success — we’ll assess what gaps exist in your practice, identify the path forward and stick with you until you achieve your goals.

Learn More

Security and Privacy Forms and ADV Terms and Conditions

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.