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1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-15 |
Branch Locations
1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Steben & Company, Inc | Rockville | MD | 11/2003 | 09/2016 |
| Atel Securities Corporation | San Francisco | CA | 09/2016 | 07/2018 |
| W.E. Donoghue & Co., Llc | Norwood | MA | 09/2018 | 03/2019 |
| First Dallas Securities, Inc. | Dallas | TX | 06/2019 | 10/2024 |
| Hodges Capital Management | Dallas | TX | 06/2019 | 09/2024 |
| Foreside Fund Services, Llc | Sausalito | CA | 01/2025 | 01/2026 |
| Stockbridge Capital Group, Llc | Sausalito | CA | 01/2025 | 01/2026 |
| Assetmark Financial Holdings, Inc. | Sausalito | CA | 04/2026 | Present |
| Assetmark, Inc. | Sausalito | CA | 04/2026 | Present |
| Assetmark Brokerage, Llc | Sausalito | CA | 04/2026 | Present |
1) ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 04/2026 - 160 HRS / MONTHLY - SENIOR RIA BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 2) POSHMARK - NOT INVESTMENT-RELATED - POSHMARK DE MINIMIS RETAIL SALES - START DATE 4/2022 - 0 HRS/ MONTHLY - 0 HRS DURING SECURITY TRADING HOURS - RESPOND TO OCCASIONAL INCOMING REQUESTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-22 |
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