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Investment Adviser Firm Summary

ASSETMARK, INC. (CRD# 109018 / SEC# 801-56323)
Alternate Names: ARIS , ASSETMARK INVESTMENT SERVICES , ASSETMARK INVESTMENT SERVICES INC , ASSETMARK INVESTMENT SERVICES, INC. , ASSETMARK, INC. , GENWORTH FINANCIAL ASSET MANAGEMENT, INC. , GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. , SAVOS INVESTMENTS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/08/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 10/26/1998
Alaska 01/06/2006
Arizona 06/26/1996
Arkansas 01/05/2006
California 04/14/1997
Colorado 04/01/2004
Connecticut 12/15/1999
Delaware 07/14/2003
District of Columbia 08/27/1997
Florida 09/23/1996
Georgia 01/24/1996
Hawaii 01/03/2006
Idaho 01/03/2006
Illinois 07/15/1996
Indiana 01/03/2006
Iowa 05/14/1999
Kansas 01/03/2006
Kentucky 03/08/2000
Louisiana 09/27/2001
Maine 01/03/2006
Maryland 02/04/2000
Massachusetts 09/13/1996
Michigan 01/03/2006
Minnesota 04/15/1999
Mississippi 03/16/2001
Missouri 01/03/2006
Montana 01/03/2000
Nebraska 01/03/2006
Nevada 01/03/2000
New Hampshire 02/23/1998
New Jersey 01/27/2006
New Mexico 07/16/1996
New York 04/03/2001
North Carolina 03/16/2001
North Dakota 01/03/2006
Ohio 06/14/1999
Oklahoma 01/03/2006
Oregon 02/07/2000
Pennsylvania 01/06/2000
Puerto Rico 08/01/2008
Rhode Island 01/03/2006
South Carolina 01/03/2006
South Dakota 01/05/2006
Tennessee 01/21/2000
Texas 10/04/2000
Utah 07/18/1996
Vermont 01/03/2006
Virgin Islands 08/01/2008
Virginia 07/30/1996
Washington 01/04/2000
West Virginia 01/03/2006
Wisconsin 07/18/1996
Wyoming 03/28/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser