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Gaurav Auditya

EVP, Head of Client Operations at AssetMark

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Gaurav Auditya is EVP, Head of Client Operations of Assetmark, Inc., a Concord investment adviser managing $91.8B. Gaurav Auditya has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 26 and SIE.

Role at AssetMark

Title on Schedule A
EVP, Head of Client Operations
Control
Gaurav Auditya is a control person of AssetMark.
Ownership
An individual ownership band is not available in the source record.
Tenure
Gaurav Auditya has held the filed role since May 2026.

The firm

Assetmark, Inc.
Concord, CA

Form ADV filed 14 September 2026

$91.8B AUM456,452 clients269 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 26 · 2012
  3. Passed Series 6 · 2011

Registrations and exams

Broker registration; no current adviser registration. Gaurav Auditya has passed 3 qualifying exams.

Examinations

Series 2628 December 2012
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 622 December 2011
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Gaurav Auditya
CRD
5958938
Firm
Assetmark, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
assetmark.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

AssetMark describes Auditya’s work leading client operations and supporting the firm’s operational platform. Official firm biography

Common questions

Where does Gaurav Auditya work?

Gaurav Auditya has been EVP, Head of Client Operations of Assetmark, Inc. since May 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 September 2026

Does Gaurav Auditya have a current investment-adviser registration?

Gaurav Auditya has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Gaurav Auditya passed?

Gaurav Auditya has passed 3 licensing exams: the Series 6, Series 26 and SIE. The earliest, the Series 6, was passed in December 2011.

Source: IAPD individual record, checked 18 October 2026

Leadership at AssetMark

Sources

  1. IAPD individual record, CRD 5958938. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Assetmark, Inc., filed 14 September 2026. Title, control and ownership bands.
  3. AssetMark team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Gaurav Auditya or Assetmark, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.