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

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

9. 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.

10.  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.

11. 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.

12. 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.

13. 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.