Brian Scott Wubbe

Employer firm

Assetmark, Inc. CRD 109018

$91.8B regulatory AUM 220,268 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Assetmark, Inc.

1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2025-06-23

PA RA
APPROVED

Since 2025-06-23

Branch Locations

Warrington, PA • United States

1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Northern Lights Distributors, Llc	Omaha	NE	10/2013	11/2018
Toews Corporation	Linwood	NJ	09/2013	11/2018
Orion Portfolio Solutions	Omaha	NE	01/2022	09/2022
Sei Investments	Oaks	PA	03/2023	06/2025
Unemployed	Warrington	PA	10/2022	02/2023
Assetmark Brokerage, Llc	Warrington	PA	06/2025	Present
Assetmark Financial Holdings, Inc.	Warrington	PA	06/2025	Present
Brinker Capital	Berwyn	PA	01/2019	12/2021

10/2013 → 11/2018

Northern Lights Distributors, Llc

Omaha, NE
09/2013 → 11/2018

Toews Corporation

Linwood, NJ
01/2022 → 09/2022

Orion Portfolio Solutions

Omaha, NE
03/2023 → 06/2025

Sei Investments

Oaks, PA
10/2022 → 02/2023

Unemployed

Warrington, PA
06/2025 → Present

Assetmark Brokerage, Llc

Warrington, PA
06/2025 → Present

Assetmark Financial Holdings, Inc.

Warrington, PA
01/2019 → 12/2021

Brinker Capital

Berwyn, PA

Previous Registrations

2023-04-06 → 2025-06-11

Sei Investments Management Corp

Oaks, PA

Warrington, PA
2022-01-12 → 2022-09-01

Orion Portfolio Solutions, Llc

Berwyn, PA

Omaha, NE
2020-10-19 → 2021-12-31

Orion Portfolio Solutions, Llc

Omaha, NE
2019-01-11 → 2020-10-16

Brinker Capital Inc

Berwyn, PA
2014-06-19 → 2018-11-02

Toews Asset Management

New York, NY
2012-03-12 → 2013-09-04

Financial Telesis Inc

San Rafael, CA

Berwyn, PA
2010-01-05 → 2010-10-15

Delaware Capital Management Advisers, Inc

Philadelphia, PA
2007-03-15 → 2009-12-31

Lincoln Financial Distributors, Inc.

Philadelphia, PA

Radnor, PA

Other Businesses

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 06/2025 - 160 HRS / MONTHLY - BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-01-22
S63	Uniform Securities Agent State Law Examination	2006-04-15

S65 Uniform Investment Adviser Law Examination

2007-01-22
S63 Uniform Securities Agent State Law Examination

2006-04-15

Other Names

Brian Scott Wubbe

View on SEC IAPD