AssetMark’s Due Diligence For financial advisor use with clients.

a team of due diligence professionals with a disciplined approach When you work with AssetMark, you’re backed by a team of due diligence professionals with a disciplined approach to investment research For financial advisor use with clients.

Investment Strategies Group Lauren Kang Director of Due Diligence Joined the team in 2009 Eli Kahwaty, CFA Due Diligence Leader Joined the team in 2012 Richard Noma, CFA, CAIA Senior Analyst Joined the team in 2010 Brian Roxas Analyst Joined the team in 2016 Zoë Brunson, CFA SVP, Investment Strategies Joined the team in 2007 Stephanie Ting Investment Performance Analyst Joined the team in 2014 Our team of experienced due diligence professionals has knowledge, contacts and experience that goes beyond a database For financial advisor use with clients.

Our core beliefs are the foundation of the due diligence process People Experienced, tenured teams in stable organizations Philosophy Clearly defined,,tried and tested Process Consistent, disciplined and applied in multiple market environments Portfolio Construction Risk management is a key component Performance Proof statement of philosophy, process and portfolio construction For financial advisor use with clients.

Our investment offering is backed by a rigorous Due Diligence process 2018 Search/Annual Candidate screen Due diligence questionnaire Onsite visit Fundamental review & report Review guidelines Recommendation Quarterly Investment manager commentary Conference call Performance attribution review Qualitative evaluation Presentation to Investment Committee Monthly/Daily Review performance & attribution Review asset allocation changes For financial advisor use with clients.

Due Diligence: the Search We look for investment managers who offer innovative solutions and appreciate advisors’ needs for transparent and disciplined processes We evaluate the candidates for characteristics that will complement our existing strategists For financial advisor use with clients.

Due Diligence starts with a search We build our search universe from multiple sources, looking for approaches and capabilities that fit into the way we construct portfolios We narrow down the universe to a pool of finalists for comprehensive evaluation and visits to the strategist’s office For financial advisor use with clients.

It’s like a background check for your portfolio … and ends with a committee review The team debates the candidates and presents final recommendations to the Investment Committee. Our solutions fit into, and complement, our investment lineup, providing advisors with a range of solutions in each category, and diverse approaches to investing It’s like a background check for your portfolio For financial advisor use with clients.

Due Diligence Quarterly monitoring We continually monitor our investment providers and check in each quarter With a focus on… Organization & process Portfolio positioning Performance For financial advisor use with clients.

 Due Diligence Quarterly monitoring Satisfactory Watch Review We assign a status based on qualitative scoring and assessment We publish the results of our in-depth reviews and updates to help advisors understand the strategy’s strengths, issues and expected performance patterns Watch Review Terminate Satisfactory  For financial advisor use with clients.

The Ins and Outs of adding and removing strategists from our platform Value-added strategies that complement the offerings on our platform Repeatable investment process Experienced, tenured teams Performance in-line with the stated investment and risk management philosophy Out Strategies that exhibit unexpected or unexplained performance Shift in investment process or philosophy Key personnel turnover Unexplainable performance that prompts questions about the investment philosophy and process For financial advisor use with clients.

Since 1996, our due diligence process has added more than 35 portfolio strategists and removed more than 15 Portfolio Strategist Added Terminated Litman Gregory Asset Mgmt 1996 Disciplined Investment Advisors 1998 Savos 2001 Value Line 1999 New Frontier Advisors 2004 Analytic TSA Global Asset Mgmt 2002 JP Morgan Asset Mgmt 2008 Meeder Asset Mgmt 2006 State Street Global Advisors Standard & Poor's City National Rochdale 2009 Goldman Sachs Asset Mgmt 2013 Eaton Vance 2010 UBS Global Asset Mgmt Altegris 2011 CRA Rogers Casey BlackRock 2012 Morgan Stanley Dean Witter DoubleLine Meridian Salient (fka Forward) Breen Financial Corporation Beaumont Capital Mgmt 2014 PanAgora Asset Mgmt William Blair Wilshire Associates Windham Capital Mgmt Avatar, LLC 2005 Aris 2015 Stadion AlphaSimplex Group F-Squared Clark Capital Mgmt Callan 2016 Julex Capital Mgmt Model Capital Mgmt WestEnd Advisors American Funds by Capital Group DoubleLine is a registered trademark of DoubleLine Capital LP. For financial advisor use with clients.

Important Information This presentation is intended for information purposes only, and is not a recommendation or solicitation for any investment or investment strategy.  Please consult with a financial advisor regarding your particular situation before making any investment decision. AssetMark, Inc. is an investment adviser registered with the Securities and Exchange Commission. ©2018 AssetMark, Inc. All rights reserved. 13736 l C32196 l 6/2018 | EXP 12/31/19 For financial advisor use with clients.