Samuel E. Badgley

SAM BADGLEY

RALEIGH, NC

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CRD#: 2945411

Professional summary

Samuel Eugene Badgley, who also goes by Sam E. Badgley, is a registered financial advisor currently at SAM BADGLEY INC. located in Raleigh, North Carolina and ASSETMARK, INC. located in Raleigh, North Carolina.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Samuel has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Sam E. Badgley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Eugene Badgley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 13, 2015 - Present

SAM BADGLEY INC.

RIA

CRD#: 152632

RALEIGH, NC

Current

July 15, 2026 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

RALEIGH, NC

Past

January 21, 2025 - June 1, 2026

EFFICIENT ADVISORS

RIA

CRD#: 150144

Raleigh, NC

Past

January 27, 2010 - December 31, 2014

SAM BADGLEY INC.

RIA

CRD#: 152632

RALEIGH, NC

Past

August 26, 2008 - December 31, 2009

TRIAD ADVISORS LLC

RIA

CRD#: 25803

WILLIAMSTOWN, WV

Past

February 1, 2008 - December 31, 2009

TRIAD ADVISORS LLC

CRD#: 25803

WILLIAMSTOWN, WV

Past

October 18, 2004 - March 6, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WILLIAMSTOWN, WV

Past

September 14, 2004 - November 16, 2004

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 21, 1998 - September 28, 2004

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/7/2018)

IAR

Ohio
(1/13/2015)

IAR

Texas
(1/28/2025)

IAR

West Virginia
(1/14/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/1/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA 94520-2445

Mailing Address

Phone number

(800) 664-5345

Established

Firm type

Fiscal year end

# of Employees

735

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK, INC. PART 2A (12/15/2025)

REFERRAL DISCLOSURE BROCHURE (12/15/2025)

PLATFORM DISCLOSURE BROCHURE (12/15/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

Regulatory assets under management

Total Number of Accounts	410,749
AUM (Assets Under Management)	$ 77,412,781,198

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
12/19/2024	Cover Page	Report
08/23/2024	Cover Page	Report
12/06/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Samuel E. Badgley

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Eugene Badgley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK, INC.

EFFICIENT ADVISORS

SAM BADGLEY INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2008

Series 63

Date: 11/24/1997

Series 6

Date: 12/1/1997

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

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