Alexa J. Phillips

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CRD#: 6283061

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alexa Julianne Phillips, who also goes by Alexa Julianne Davis, was a registered financial professional .

Alexa is a previously registered financial professional and started their career in finance in 2016. Alexa had worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Alexa Julianne Davis

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2025 - December 31, 2025

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

February 22, 2016 - May 30, 2024

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

FOLSOM, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/22/2016

Uniform Investment Adviser Law 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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Alexa J. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK, INC.

ALLWORTH FINANCIAL, L.P.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2016

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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