ASSETMARK

Owners

Goods & Services

Financial services, namely, investment counseling, portfolio management, securities trading, and management of custom portfolio models by individual investment advisors; financial and investment services, namely, investment advisory, consultation, and management services; financial planning services; wealth management; fund management, namely, management of mutual funds; financial asset management; alternative investment management; strategic investment management and investment consultation services in all asset classes, including fixed-income products, equities, alternative investments, and commodities; financial risk management consultation; custodial services in the nature of financial trust operations; investment management services and investment of funds and assets of others, capital investment services, and financial transaction services; trust and estate planning and management services; brokerage services, namely, acting as broker and dealer of equity and debt securities; investment management and advisory services for retirement plans and 401k plans; mutual fund brokerage; mutual fund distribution; mutual fund underwriting; providing financial portfolio management and financial counseling services for professional investment advisors and their clients via a global computer network; securities trading and investing services for others; financial analysis, namely, compiling and analyzing statistics, data and other sources of information for financial purposes; providing access to banking services

Practice management services, namely, providing business management support to investment advisors; business management and administration services; business information, consultancy, appraisal and advisory services