Austin H. Lewis

ASSETMARK

Charlotte, NC 28209

Some features on this profile are disabled

CRD#: 6120895

Professional summary

Austin Harold Lewis, CFP®, CIMA®, CPWA®, who also goes by Austin Harold Lewis, Austin Lewis, is a registered financial advisor currently at ASSETMARK, INC. located in Charlotte, North Carolina and ASSETMARK BROKERAGE, LLC located in Concord, California.

Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Austin has worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin Harold Lewis | Austin Lewis

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.

1) ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 6/2025 - 160 HRS / MONTHLY - SENIOR FINANCIAL PLANNER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 2) SOUTHPARK FAMILY TAX, LLC - NOT INVESTMENT-RELATED - IN CHARLOTTE, NC - SEASONAL INCOME TAX FORM PREPARATION FOR INDIVIDUALS AND FAMILIES - MANAGING PARTNER, CO-FOUNDER, INCOME TAX FORM PREPARER - START DATE 11/2023 - 8 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS - RESPONSIBLE FOR COMPANY OPERATIONS TO PROVIDE INCOME TAX CUSTOMERS WITH FORM PREPARATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Harold Lewis'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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2019-08-19

Expire date: 2024-05-31

Experience

Current

July 22, 2025 - Present

ASSETMARK, INC.

Office #1: 2825 South Blvd Suite 500, Charlotte, NC 28209

RIA

CRD#: 109018

Charlotte, NC

Current

July 22, 2025 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520

CRD#: 169804

Concord, CA

Past

May 7, 2021 - July 18, 2025

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

April 28, 2021 - July 18, 2025

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

April 18, 2018 - June 9, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Southlake, TX

Past

September 12, 2016 - March 29, 2018

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Westlake, TX

Past

September 12, 2016 - March 29, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 20, 2016 - August 22, 2016

ROOTED FINANCIAL PLANNING

RIA

CRD#: 282184

FORT WORTH, TX

Past

May 5, 2015 - December 26, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

PLANO, TX

Past

May 5, 2015 - December 26, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PLANO, TX

Past

August 25, 2014 - May 7, 2015

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

PLANO, TX

Past

August 25, 2014 - May 7, 2015

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

PLANO, TX

Past

April 15, 2014 - March 3, 2015

ROGERS WEALTH GROUP, INC.

RIA

CRD#: 107409

FORT WORTH, TX

Past

December 3, 2012 - January 31, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(7/22/2025)

IAR

North Carolina
(7/22/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/21/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/27/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/7/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/21/2013

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 RETIREMENT DISCLOSURE BROCHURE (11/17/2025)

REFERRAL DISCLOSURE BROCHURE (11/17/2025)

PLATFORM DISCLOSURE BROCHURE (11/17/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (11/17/2025)

ASSETMARK, INC. PART 2A (11/17/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (3/26/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (3/26/2025)

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Austin H. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Harold Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

VANGUARD MARKETING CORPORATION

VANGUARD ADVISERS, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

ROOTED FINANCIAL PLANNING

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ROGERS WEALTH GROUP, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/2021

Series 65

Date: 3/27/2014

Series 7TO

Date: 5/7/2021

SIE

Date: 3/29/2018

Series 7

Date: 11/30/2012

Series 4

Date: 10/21/2013

FINRA

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

Similar Advisors