Online Privacy and Security

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

In addition to our Privacy Notice, the following privacy and security principles apply when you visit us on our website or communicate with us online and electronically.


What Information Do We Collect if You Use Our Online Services?

You can visit our website as a registered user or as a visitor. As a registered user, we may collect personal information about you when you visit our website. We use encryption and authentication tools to protect information that we obtain from you on our website. As a visitor, you can visit our website without giving us any personally identifiable information; however, our web servers will collect the name of the domain you used to access the Internet (such as aol.com), as well as your computer's Internet Protocol (IP) address. We also may collect information about the pages of our website that you visit, the time and date of your visit, the time spent on those pages, the website you came from and visit next, and other diagnostic data. We may collect this information through the use of cookies.



What Are Cookies?

Cookies are files with a small amount of data which may include an anonymous unique identifier. Cookies are sent to your browser from a website and stored on your device. You can instruct your browser to refuse all cookies or to indicate when a cookie is being sent. If you set your browser to not accept cookies, you will limit the functionality we can provide you when you visit our web site.



Does AssetMark Respond to "Do Not Track" Signals?

AssetMark does not respond to "Do Not Track" signals.



What if You Link to Another Website?

We are not responsible for the information collected by other websites if you link to them from our website. We cannot guarantee how those sites use cookies or whether they place cookies on your computer that may identify you. You should carefully review the privacy policies of each website you visit to understand how it collects and uses information.



Does AssetMark Communicate by E-mail?

We may send you e-mail communications that may be useful to you, including information about our products and services, or third parties with whom we do business. You will be given the option to not receive these e-mail messages.



Does AssetMark Collect Personal Information from Children?

No. AssetMark does not knowingly collect personally identifiable information from anyone under the age of 18. If you are a parent or guardian and you are aware that your child has provided us with personal information, please contact us. If we become aware that we have collected personal information from children without verification of parental consent, we take steps to remove that information.



What If AssetMark's Online Privacy and Security Notice Changes?

We may update this Online Privacy and Security Notice from time to time. We will notify you of any material changes by posting the new Online Privacy and Security Notice on this page, along with the effective date of any changes.

This Online Privacy and Security Notice does not apply to other financial service providers, such as your Financial Advisor and the firm(s) s/he is associated with.


©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.



Client Privacy Policy

FACTS What does AssetMark 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 and credit history
  • Income and account balances
  • Transaction history and investment experience
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. Yes No
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
  • Direct us to buy or sell securities
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., Global Financial Advisory, LLC, and OBS Financial Services, Inc.
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.
  • Our joint marketing partners include other financial institutions.
Other Important Information
California: We will share your personal information for joint marketing purposes unless you opt out of that sharing. For instructions on how to opt out, please see our separate notice to you entitled "Important Privacy Choices for Consumers." 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 the rights available to California residents, please see our "California Privacy Policy."
Nevada: 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
North Dakota: We will not share your personal information with non-affiliates for joint marketing purposes without your authorization.
Vermont: If you are a Vermont resident, we will automatically limit sharing of your information for joint marketing purposes. We will not disclose information about your creditworthiness to our affiliates and will not disclose your personal information, financial information, credit report, or health information to nonaffiliated third parties to market to you, other than as permitted by Vermont law, unless you authorize us to make those disclosures.

This must remain with the client.


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.

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

November 19, 2020.

©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.