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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON , D.C. 20549 ( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Commission File Number : 001-38980 Delaware ( State or other jurisdiction of incorporation or organization ) FORM 10 - K ASSETMARK FINANCIAL HOLDINGS , INC . ( Exact name of registrant as specified in its charter ) Title of each class Common stock , par value $ 0.001 per share to Large accelerated filer Non - accelerated filer ( 925 ) 521-2200 ( Registrant's telephone number , including area code ) Securities registered pursuant to Section 12 ( b ) of the Securities Exchange Act of 1934 : Trading symbol ( s ) AMK Securities registered pursuant to Section 12 ( g ) of the Securities Exchange Act of 1934 : None Indicate by check mark if the registrant is a well - known seasoned issued , as defined in Rule 405 of the Securities Act of 1933. Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Securities Exchange Act of 1913. Yes No > Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes > No 1655 Grant Street , 10th Floor Concord , California 94520 ( Address of principal executive offices ) 00 30-0774039 ( I.R.S. Employer Identification Number ) Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes > No Name of each exchange on which registered New York Stock Exchange Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Yes No X Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No > The aggregate market value of the common stock held by non - affiliates of the Registrant , based on the closing price of $ 27.29 per share of the Registrant's common stock on June 30 , 2020 , the last business day of the Registrant's most recently completed second fiscal quarter , as reported by the New York Stock Exchange on such date , was approximately $ 0.5 billion . Shares of the Registrant's common stock held by each executive officer , director and holder of 5 % or more of the outstanding common stock have been excluded in that such persons may be deemed to be affiliates . This calculation does not reflect a determination that certain persons are affiliates of the registrant for any other purpose . The Registrant has no non - voting equity . As of February 28 , 2021 , the number of shares of the registrant's common stock outstanding was 72,459,255 . Documents Incorporated by Reference : Certain information required in response to Item 5 of Part II of Form 10 - K and Part III of Form 10 - K is hereby incorporated by reference to portions of the Registrant's Proxy Statement for the Annual Meeting of Stockholders to be held in 2021. The Proxy Statement will be filed by the Registrant with the Securities and Exchange Commission no later than 120 days after the end of the Registrant's fiscal year ended December 31 , 2020 .