Alexander Louis Caiola

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2025 → 03/2026
  Morgan Stanley
  Gilbert, AZ
• 08/2023 → 12/2024
  Stifel Nicolaus
  Miami Beach, FL
• 06/2023 → 08/2023
  Stifel Nicolaus
  Miami Beach, FL
• 05/2024 → 08/2024
  Backline Financial Llc
  North Palm Beach, FL
• 05/2020 → 08/2022
  Fast-Lane Detailing
  Westfield, NJ
• 06/2022 → 08/2022
  G-Wiz Auto Entertainment
  Westfield, NJ
• 05/2019 → 09/2020
  Nomahegan Swim And Tennis Club
  Westfield, NJ
• 05/2017 → 09/2018
  Nomahegan Swim And Tennis Club
  Westfield, NJ
• 08/2021 → 12/2024
  The University Of Miami
  Coral Gables, FL
• 08/2012 → 06/2021
  The Wardlaw Hartridge School
  Edison, NJ
• 03/2026 → Present
  Assetmark Financial Holdings, Inc.
  Phoenix, AZ
• 04/2026 → Present
  Assetmark Brokerage, Llc.
  Phoenix, AZ
• 03/2026 → Present
  Assetmark, Inc.
  Phoenix, AZ
• 01/2022 → Present
  Roxy Holding Company, Llc.
  Mountainside, NJ

Previous Registrations

• 2025-03-13 → 2026-03-12
  Morgan Stanley
  Gilbert, AZ

Other Businesses

1. ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 3/2026 - 160 HRS / MONTHLY - SALES CONSULTANT SPECIALIST OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 2. ROXY HOLDING COMPANY, LLC. - NON-INVESTMENT RELATED - MOUNTAINSIDE, NJ - REAL ESTATE - MANAGING MEMBER - START DATE 1/2022 - 0 HRS / MONTHLY - 0 HRS DURING SECURITY TRADING HOURS - NO DUTIES

Exams

• S66 Uniform Combined State Law Examination
  2025-02-12

Other Names

• Alex Caiola