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AssetMark Financial Holdings, Inc. 
 CA
  SEC # 1591587


        
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369  SEC Filings
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  from  11/13/13  to  3/14/24  (2 Weeks Ago)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘10-K’ — Annual Report — Form 10-K — for 12/31/23 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  AssetMark Financial Holdings, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  123 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/14/24 New Document this Past Month!10-KUpdate:  Annual Reports — Form 10-K  New Document this Past Month!  — Financial Reports
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5
2/21/248-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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56

8-K Items: 
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11/10/22 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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3
1/4/21 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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1
2/21/24
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  Financial Info: 
Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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19
11/10/22 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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3
3/1/21 OLD
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  Securities & Trading: 
Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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1
10/18/23
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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13
6/7/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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2
6/7/23"Submission of Matters to a Vote of Security Holders — Item 5.075
12/1/23
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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10
9/8/23
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  Events: 
Other Events — Item 8.018
2/21/24
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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44

2/9/2413F-NTOwnership:  Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management
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18
11/7/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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14
4/17/23ARSUpdate:  Annual Report to Security Holders1
4/17/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A4
4/17/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A4
4/5/23PRE 14AProxy:  Preliminary Proxy Statement — Schedule 14A1
7/2/21 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 2
6/29/21 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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5
6/17/21 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 2
7/18/19 OLDS-8Registration:  Registration Statement – Securities for an Employee Benefit Plan — Form S-8  OLD 1
7/18/19 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
7/16/19 OLDCERTTrading:  Certification by a Securities Exchange Approving a Listing — Form CERT  OLD 1
7/15/19 OLD8-A12BRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
7/10/19 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 3
5/31/19 OLDDRSRegistration:  Draft Registration Statements by Emerging Growth Companies and Foreign Issuers — Form DRS  OLD 2

Letters: 
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7/12/19 OLDREDACTED EXHIBITSEC Staff Letters – Redacted Exhibits  OLD  — All Correspondence with the SEC2

General Exhibits: 
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3/14/24 New Exhibit this Past Month!EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation  New Exhibit this Past Month! 1
3/14/24 New Exhibit this Past Month!EX-23Consents of Experts and Counsel  New Exhibit this Past Month! 17
3/14/24 New Exhibit this Past Month!EX-4Instruments, Including Indentures, Defining the Rights of Security Holders  New Exhibit this Past Month! 10
3/14/24 New Exhibit this Past Month!EX-10Material Contracts  New Exhibit this Past Month! 61
3/14/24 New Exhibit this Past Month!EX-21Subsidiaries Lists  New Exhibit this Past Month! 13
6/7/23EX-3Articles of Incorporation/Organization and Bylaws11
6/17/21 OLDEX-5Opinions of Counsel re: Legality  OLD 4
7/10/19 OLDEX-1Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD 1

Additional Exhibits: 
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2/21/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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37

Financials: 
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3/14/24 New Exhibit this Past Month!EX-31Certifications — §302 – SOA’02  New Exhibit this Past Month! 38
3/14/24 New Exhibit this Past Month!EX-32Certifications — §906 – SOA’02  New Exhibit this Past Month! 38
3/14/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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1,177
3/14/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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53
3/14/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 203
3/14/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 47
3/14/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
53

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3/14/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 703

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


2 Related Managers who also Reported Holdings for this Manager

As Of
In descending order
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/9/2412/31/23  NA of 1,836  NA  
 CA
 
Assetmark, Inc.
11/9/159/30/15  386 of 386  $48  
 PA
 
Aris Wealth Services, Inc.


Forms
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, Documents
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& Exhibits
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 in  246 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 04546L
 

        
Latest Filing  Type    Category    Description        Documents
     
3/5/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 206
2/9/243Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 323
1/29/24144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 14410
7/31/19 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 2

Letters: 
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5/7/21 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC5
5/7/21 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 5

General Exhibits: 
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6/12/23EX-24Powers of Attorney32

Additional Exhibits: 
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7/29/19 OLDEX-99Miscellaneous Exhibit  OLD 1

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6/12/23GRAPHICPhotos, Images and Graphs3


        

Filings History

Year    # of Filings
In descending order
2024 7
2023 51
2022 49
2021 78
2020 115
2019 56
2016 4
2015 4
2014 4
2013 1

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