GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

CRD #132070 SEC #801-63282 SARASOTA, FL 800-220-0614

SEC Registered

Total AUM

$2.3B

Discretionary

$2.3B

Employees

Clients

Accounts

19,705

Firm Details

Organization Type: Corporation
State of Formation: Florida
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Jun 30, 2020
Branch Offices: 0

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BELL, MICHAEL, A	I	CHIEF EXECUTIVE OFFICER	NA	Control
BELL, MICHAEL, A	I	CHIEF EXECUTIVE OFFICER	NA	Control
BELL, MICHAEL, A	I	CHIEF EXECUTIVE OFFICER	NA	Control
BELL, MICHAEL, A	I	CHIEF EXECUTIVE OFFICER	NA	Control
BELL, MICHAEL, A	I	CHIEF EXECUTIVE OFFICER	NA	Control
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, CHRISTIAN, CAMERON	I	CHIEF INVESTMENT OFFICER	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
BERTELSEN, EDWARD, CHRISTIAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
BERTELSEN, EDWARD, CHRISTIAN	I	COMPLIANCE OFFICER - INSTITUTIONAL	NA
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
DELLARCO, LEWIS, JAMES	I	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT	NA	Control
GARBADE, JOSEPH, LUHMAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
GOLDMAN, CHARLES, GEORGE	I	CHIEF EXECUTIVE OFFICER AND MANAGER	NA	Control
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
HUSHEK, DANIEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
Koncick, Teresa, A	I	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	NA	Control
Koncick, Teresa, A	I	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	NA	Control
Koncick, Teresa, A	I	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	NA	Control
Koncick, Teresa, A	I	GENERAL COUNSEL	NA	Control
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
LYLE, TIMOTHY, JAMES	I	CHIEF COMPLIANCE OFFICER	NA
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ZYLA, GARY, GEORGE	I	EXECUTIVE VP, TREASURER AND MANAGER	NA	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE MEMBER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE SHAREHOLDER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE MEMBER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE SHAREHOLDER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE SHAREHOLDER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE MEMBER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE MEMBER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE SHAREHOLDER	E	Control
ASSETMARK FINANCIAL, INC.	DE	SOLE SHAREHOLDER	E	Control
GFPC HOLDINGS, LLC	DE	MEMBER	E	Control
GFPC HOLDINGS, LLC	DE	MEMBER	E	Control
DIXON, MICHAEL, J	I	CO-MANAGING MEMBER	D	Control
DIXON, MICHAEL, J	I	CO-MANAGING MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
DIXON, MICHAEL, JOHN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MANAGING MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MANAGING MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER; CHIEF COMPLIANCE OFFICER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	D	Control
GFPC HOLDINGS, LLC	DE	MEMBER	D	Control
GFPC HOLDINGS, LLC	DE	MEMBER	D	Control
GFPC HOLDINGS, LLC	DE	MEMBER	D	Control
BERTELSEN, CHRISTIAN, CAMERON	I	MEMBER	C	Control
BERTELSEN, CHRISTIAN, CAMERON	I	CO-MANAGING MEMBER	C	Control
BERTELSEN, CHRISTIAN, CAMERON	I	CO-MANAGING MEMBER	C	Control
BERTELSEN, CHRISTIAN, CAMERON	I	CO-MANAGING MEMBER	C	Control
BERTELSEN, EDWARD, CHRISTIAN	I	MEMBER, CIO, CCO	C	Control
BERTELSEN, EDWARD, CHRISTIAN	I	CO-MANAGING MEMBER, CIO, CCO	C	Control
BERTELSEN, EDWARD, CHRISTIAN	I	CO-MANAGING MEMBER, CIO, CCO	C	Control
BERTELSEN, EDWARD, CHRISTIAN	I	CO-MANAGING MEMBER, CIO	C	Control
DIXON, MICHAEL, J	I	MEMBER	C	Control
DIXON, MICHAEL, J	I	CO-MANAGING MEMBER	C	Control
DIXON, MICHAEL, J	I	CO-MANAGING MEMBER	C	Control
DIXON, MICHAEL, J	I	CO-MANAGING MEMBER	C	Control
FRAZIER, GEOFFREY, ALLEN	I	MEMBER	C	Control
FRAZIER, GEOFFREY, ALLEN	I	MANAGING MEMBER	C	Control
FRAZIER, GEOFFREY, ALLEN	I	MANAGING MEMBER	C	Control
FRAZIER, GEOFFREY, ALLEN	I	MANAGING MEMBER	C	Control
GEMGC, LLC	DE	MEMBER	B
GEMGC, LLC	DE	MEMBER	B
GEMGC, LLC	DE	MEMBER	B
GEMGC, LLC	DE	MEMBER	B
GEMGC, LLC	DE	MEMBER	B
MCCE ASSOCIATES, LLC	DE	MEMBER	B
MCCE ASSOCIATES, LLC	DE	MEMBER	B
MCCE ASSOCIATES, LLC	DE	MEMBER	B
MCCE ASSOCIATES, LLC	DE	MEMBER	B
MCCE ASSOCIATES, LLC	DE	MEMBER	B

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
DIXON, MICHAEL, JOHN	I	THE MICHAEL J. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE MICHAEL J. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE MICHAEL J. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE MICHAEL J. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE MICHAEL J. DIXON REVOCABLE TRUST	F	Control
DIXON, MICHAEL, JOHN	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE MICHAEL DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE MICHAEL DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE MICHAEL DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE MICHAEL DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE MICHAEL DIXON REVOCABLE TRUST	F	Control
Dixon, Claire, Louise	I	THE CLAIRE L. DIXON REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE GEOFFREY A. FRAZIER REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE EMILY F. DIXON GST IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE GEOFFREY A. FRAZIER REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE EMILY F. DIXON GST IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE GEOFFREY A. FRAZIER REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE EMILY F. DIXON GST IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE GEOFFREY A. FRAZIER REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE EMILY F. DIXON GST IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE GEOFFREY A. FRAZIER REVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	THE EMILY F. DIXON GST IRREVOCABLE TRUST	F	Control
FRAZIER, GEOFFREY, ALLEN	I	CHARLOTTE L. DIXON IRREVOCABLE TRUST	F	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK FINANCIAL HOLDINGS, INC.	DE	ASSETMARK FINANCIAL, INC.	E	Control
ASSETMARK HOLDINGS LLC	DE	ASSETMARK FINANCIAL HOLDINGS, INC.	E	Control
ASSETMARK HOLDINGS LLC	DE	ASSETMARK FINANCIAL HOLDINGS, INC.	E	Control
ASSETMARK HOLDINGS LLC	DE	ASSETMARK FINANCIAL HOLDINGS, INC.	E	Control
ASSETMARK HOLDINGS LLC	DE	ASSETMARK FINANCIAL HOLDINGS, INC.	E	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK HOLDINGS LLC	E	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK HOLDINGS LLC	E	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK HOLDINGS LLC	E	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK HOLDINGS LLC	E	Control
NAYDEN, DENIS, JAMES	I	GFPC HOLDINGS, LLC	E	Control
NAYDEN, DENIS, JAMES	I	GFPC HOLDINGS, LLC	E	Control
NAYDEN, DENIS, JAMES	I	GFPC HOLDINGS, LLC	E	Control
NAYDEN, DENIS, JAMES	I	GFPC HOLDINGS, LLC	E	Control
NAYDEN, DENIS, JAMES	I	GFPC HOLDINGS, LLC	E	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK FINANCIAL HOLDINGS, INC.	D	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK FINANCIAL HOLDINGS, INC.	D	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK FINANCIAL HOLDINGS, INC.	D	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK FINANCIAL HOLDINGS, INC.	D	Control
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED	FE	ASSETMARK FINANCIAL HOLDINGS, INC.	D	Control
THE GEOFFREY A. FRAZIER REVOCABLE TRUST	DE	GEMGC, LLC	D	Control
THE GEOFFREY A. FRAZIER REVOCABLE TRUST	DE	GEMGC, LLC	D	Control
THE GEOFFREY A. FRAZIER REVOCABLE TRUST	DE	GEMGC, LLC	D	Control
THE GEOFFREY A. FRAZIER REVOCABLE TRUST	DE	GEMGC, LLC	D	Control
THE GEOFFREY A. FRAZIER REVOCABLE TRUST	DE	GEMGC, LLC	D	Control
THE CHARLOTTE L. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CHARLOTTE L. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CHARLOTTE L. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CHARLOTTE L. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CHARLOTTE L. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CLAIRE L. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CLAIRE L. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CLAIRE L. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CLAIRE L. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE CLAIRE L. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE EMILY F. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE EMILY F. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE EMILY F. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE EMILY F. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE EMILY F. DIXON GST IRREVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE MICHAEL J. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE MICHAEL J. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE MICHAEL J. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE MICHAEL J. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control
THE MICHAEL J. DIXON REVOCABLE TRUST	DE	MCCE ASSOCIATES, LLC	C	Control

Registrations

Federal

Jun 30, 2020 REGISTERED

Notice Filings (52)

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