Document:

EX-10.10

 Exhibit 10.10 

ASSETMARK FINANCIAL HOLDINGS, INC. 

2019 EQUITY INCENTIVE PLAN 

Section 1. Purpose and Eligibility. 

(a) General Purpose. The purpose of this AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as amended from time to time, the
“Plan”) is to motivate and reward employees and other individuals to perform at the highest level and contribute significantly to the success of AssetMark Financial Holdings, Inc. (the “Company”), thereby furthering
the best interests of the Company and its shareholders. 
 (b) Eligible Award Recipients. The persons eligible to receive Awards are the
Employees, Consultants and Directors of the Company and its Affiliates, and such other individuals designated by the Administrator who are reasonably expected to become Employees, Consultants and Directors after the receipt of Awards. 

(c) Available Awards. The Plan permits the grant of Options, SARs, Restricted Stocks, RSUs, Performance Awards, Other Cash-Based Awards or
Other Stock-Based Awards. 
 Section 2. Definitions. As used in the Plan, the following terms shall have the meanings set forth
below: 
 (a) “Affiliate” means, with respect to a Person, any entity that, directly or indirectly through one or more
intermediaries, controls, is controlled by, or is under common control with, such Person (or, if no Person is specified, the Company). 
 (b)
“Award” means any Option, SAR, Restricted Stock, RSU, Performance Award, Other Cash-Based Award or Other Stock-Based Award granted under the Plan. 

(c) “Award Agreement” means any written agreement, contract or other instrument or document (including in electronic form)
evidencing an Award granted under the Plan. 
 (d) “Beneficial Owner” has the meaning assigned to such term in Rule 13d-3 and Rule 13d-5 under the Exchange Act, except that in calculating the beneficial ownership of any particular Person, such Person shall be deemed to have beneficial
ownership of all securities that such Person has the right to acquire by conversion or exercise of other securities, whether such right is currently exercisable or is exercisable only after the passage of time. The terms “Beneficial
Ownership,” “Beneficially Owns” and “Beneficially Owned” have a corresponding meaning. 
 (e)
“Beneficiary” means a Person entitled to receive payments or other benefits or exercise rights that are available under the Plan in the event of a Participant’s death. If no such Person can be named or is named by a
Participant, or if no Beneficiary designated by a Participant is eligible to receive payments or other benefits or exercise rights that are available under the Plan at a Participant’s death, such Participant’s Beneficiary shall be such
Participant’s estate. 

  
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 (f) “Board” means the Board of Directors of the Company. 

(g) “Cause” means, with respect to a Participant, “cause” as defined in such Participant’s Service Agreement,
if any, or if not so defined, except as otherwise provided in such Participant’s Award Agreement, such Participant’s: (i) serious misconduct in the performance of his or her employment duties, (ii) conviction of, plea of guilty
to, or plea of nolo contendere to (x) a felony or (y) a misdemeanor involving moral turpitude, fraud or dishonesty, (iii) commission of an act involving personal dishonesty that results in financial, reputational or other harm to the
Company or its Affiliates; (iv) breach of any applicable term set forth in such Participant’s Service Agreement, if any, or (v) breach or violation of any rule, policy, procedure or guideline of the Company or its Affiliates. 

(h) “Change in Control” means the occurrence of any one or more of the following events: 

(i) the acquisition by any Person of Beneficial Ownership, directly or indirectly, of securities of the Company (not including
in the securities beneficially owned by such Person any securities acquired directly from the Company or its Affiliates other than in connection with the acquisition by the Company or its Affiliates of a business) representing 50% or more of the
combined voting power of the then outstanding voting securities of the Company entitled to vote in the election of directors (the “Outstanding Company Voting Securities”); provided, however that for purposes of this Plan any
acquisition which complies with clauses (A), (B) and (C) of subsection (v) of this definition shall not constitute a Change of Control; 

(ii) a majority of the members of the Board are replaced during any twelve-month period by directors whose appointment or
election is not endorsed by a majority of the Board before the date of appointment or election; 
 (iii) the date which is
ten (10) business days prior to the consummation of a complete liquidation or dissolution of the Company; 
 (iv) the
direct or indirect sale, transfer, conveyance or disposition (other than by way of merger or consolidation) by the Company of all or substantially all of the Company’s assets in which any Person acquires (or has acquired during the 12-month period ending on the date of the most recent acquisition by such Person) assets from the Company that have a total gross fair market value equal to more than 50% of the total gross fair market value of all
of the assets of the Company immediately prior to such acquisition or acquisitions; or 
 (v) the consummation of a
reorganization, merger, consolidation or similar form of corporate transaction involving the Company that requires the approval of the Company’s shareholders, whether for such transaction or the issuance of securities in the transaction (a
“Business Combination”), unless immediately following such Business Combination: (A) more than 50% of the 

  
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total voting power of (I) the entity resulting from such Business Combination (the “Surviving Company”), or (II) if applicable, the ultimate parent entity that directly
or indirectly has beneficial ownership of sufficient voting securities eligible to elect a majority of the members of the board of directors (or the analogous governing body) of the Surviving Company (the “Parent Company”), is
represented by the Outstanding Company Voting Securities that were outstanding immediately prior to such Business Combination (or, if applicable, is represented by shares into which the Outstanding Company Voting Securities were converted pursuant
to such Business Combination), and such voting power among the holders thereof is in substantially the same proportion as the voting power of the Outstanding Company Voting Securities among the holders thereof immediately prior to the Business
Combination; (B) no Person (other than any employee benefit plan sponsored or maintained by the Surviving Company or the Parent Company) is or becomes the Beneficial Owner, directly or indirectly, of 50% or more of the total voting power of the
outstanding voting securities eligible to elect members of the board of directors of the Parent Company (or the analogous governing body) (or, if there is no Parent Company, the Surviving Company); and (C) at least a majority of the members of
the board of directors (or the analogous governing body) of the Parent Company (or, if there is no Parent Company, the Surviving Company) following the consummation of the Business Combination were Board members at the time of the Board’s
approval of the execution of the initial agreement providing for such Business Combination; or 
 In no event, however shall a Change in Control be deemed
to occur as a result of any acquisition (w) by the Company, Huatai International Investment Holding Limited, or any of their respective Affiliates, (x) by any employee benefit plan sponsored or maintained by the Company or any subsidiary,
(y) by any underwriter temporarily holding securities pursuant to an offering of such securities, or (z) in respect of an Award held by a particular Participant, by the Participant or any group of persons including the Participant (or any
entity controlled by the Participant or any group of persons including the Participant); 
 Notwithstanding the foregoing or any provision of any Award
Agreement to the contrary, for any Award that provides for accelerated distribution on a Change in Control of amounts that constitute “deferred compensation” (as defined in Section 409A of the Code), if the event that constitutes such
Change in Control does not also constitute a change in the ownership or effective control of the Company, or in the ownership of a substantial portion of the Company’s assets (in either case, as defined in Section 409A of the Code), such
amount shall not be distributed on such Change in Control but instead shall vest as of such Change in Control and shall be distributed on the scheduled payment date specified in the applicable Award Agreement, except to the extent that earlier
distribution would not result in the Participant who holds such Award incurring interest or additional tax under Section 409A of the Code. 

(i) “Code” means the Internal Revenue Code of 1986, as amended from time to time, and the rules, regulations and guidance
thereunder. Any reference to a provision in the Code shall be deemed to include a reference to any regulations promulgated thereunder and any successor provision thereto. 

  
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 (j) “Committee” means the compensation committee of the Board or such other
committee of one or more members of the Board as may be designated by the Board from time to time to administer the Plan in accordance with Section 4 hereof. 

(k) “Common Stock” means the Company’s common stock, $0.001 par value per share. 

(l) “Company” means AssetMark Financial Holdings, Inc., a Delaware corporation, or any successor thereto. 

(m) “Consultant” means any individual, including an advisor, who is providing services to the Company or any Subsidiary other
than as an Employee or Director, and who may be offered securities registerable pursuant to a registration statement on Form S-8 under the Securities Act. 

(n) “Director” means any member of the Board. 

(o) “Disability” means, unless the applicable Award Agreement provides otherwise, that the Participant is unable to engage in
any substantial gainful activity by reason of any medically determinable physical or mental impairment; provided, however, that for purposes of determining the term of an Incentive Stock Option, the term Disability shall have the meaning ascribed to
it under Section 22(e)(3) of the Code. The determination of whether an individual has a Disability shall be determined under procedures established by the Administrator. Except in situations where the Administrator is determining Disability for
purposes of the term of an Incentive Stock Option within the meaning of Section 22(e)(3) of the Code, the Administrator may rely on any determination that a Participant is disabled for purposes of benefits under any long-term disability plan
maintained by the Company or any Affiliate in which a Participant participates. 
 (p) “Effective Date” means the date on
which the registration statement covering the initial public offering of the Shares is declared effective pursuant to Section 12(g) of the Exchange Act by the Securities and Exchange Commission. 

(q) “Employee” means any individual, including any officer or Director, employed by the Company or any Subsidiary or any
prospective employee or officer who has accepted an offer of employment from the Company or any Subsidiary, with the status of employment determined based upon such factors as are deemed appropriate by the Committee in its discretion, subject to any
requirements of the Code or applicable laws. Mere service as a Director or payment of a director’s fee by the Company or an Affiliate will not be sufficient to constitute “employment” by the Company or an Affiliate. 

(r) “Exchange Act” means the Securities Exchange Act of 1934, as amended. 

  
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 (s) “Fair Market Value” means, as of any date, (i) with respect to
Shares, the closing price of a Share on the trading day immediately preceding the date of determination (or, if there is no reported sale on such date, on the last preceding date on which any reported sale occurred), on the principal stock market or
exchange on which the Shares are quoted or traded, or if Shares are not so quoted or traded, the fair market value of a Share as determined by the Committee, and (ii) with respect to any property other than Shares, the fair market value of such
property determined by such methods or procedures as shall be established from time to time by the Committee. 
 (t) “Grant
Date” means the date on which the Administrator adopts a resolution, or takes other appropriate action, expressly granting an Award to a Participant that specifies the key terms and conditions of the Award or, if a later effective date is
set forth in such resolution, then such effective date as is set forth in such resolution. 
 (u) “Incentive Stock Option”
means an option representing the right to purchase Shares from the Company, granted pursuant to Section 6, that meets the requirements of Section 422 of the Code. 

(v) “Intrinsic Value” with respect to an Option or SAR Award means (i) the excess, if any, of the price or implied price
per Share in a Change in Control or other event over (ii) the exercise or hurdle price of such Award multiplied by (iii) the number of Shares covered by such Award. 

(w) “Non-Qualified Stock Option” means an option representing the right to purchase
Shares from the Company, granted pursuant to Section 6, that is not an Incentive Stock Option. 
 (x) “Option” means an
Incentive Stock Option or a Non-Qualified Stock Option. 
 (y) “Optionholder” means
a person to whom an Option is granted pursuant to the Plan or, if applicable, such other person who holds an outstanding Option. 
 (z)
“Other Cash-Based Award” means an Award granted pursuant to Section 11, including cash awarded as a bonus or upon the attainment of specified performance criteria or otherwise as permitted under the Plan. 

(aa) “Other Stock-Based Award” means an Award granted pursuant to Section 11 that may be denominated or payable in,
valued in whole or in part by reference to, or otherwise based on, or related to, Shares or factors that may influence the value of Shares, including convertible or exchangeable debt securities, other rights convertible or exchangeable into Shares,
purchase rights for Shares, dividend rights or dividend equivalent rights or Awards with value and payment contingent upon performance of the Company or business units thereof or any other factors designated by the Committee. 

(bb) “Participant” means an eligible person to whom an Award is granted pursuant to the Plan or, if applicable, such other
person who holds an outstanding Award. 

  
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 (cc) “Performance Award” means an Award granted pursuant to
Section 10. 
 (dd) “Performance Period” means the period established by the Committee with respect to any Performance
Award during which the performance goals specified by the Committee with respect to such Award are to be measured. 
 (ee) “Permitted
Transferee” means (i) a member of the Optionholder’s immediate family (child, stepchild, grandchild, parent, stepparent, grandparent, spouse, former spouse, sibling, niece, nephew, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, including adoptive relationships), (ii) any person sharing the Optionholder’s household (other than a tenant or employee), (iii) a trust in which these persons have more than 50%
of the Beneficial Ownership interest, (iv) a foundation in which these persons (or the Optionholder) control the management of assets, (v) any other entity in which these persons (or the Optionholder) own more than 50% of the voting
interests; and (vi) such other transferees as may be permitted by the Administrator in its sole discretion. 
 (ff)
“Person” has the meaning ascribed to such term in Section 3(a)(9) of the Exchange Act and used in Sections 13(d) and 14(d) thereof, including a “group” as defined in Section 13(d) thereof. 

(gg) “Plan” means this AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan, as amended from time to time. 

(hh) “Restricted Stock” means any Share subject to certain restrictions and forfeiture conditions, granted pursuant to
Section 8. 
 (ii) “Restricted Stock Unit” or “RSU” means a right granted pursuant to Section 9.
Each RSU represents an unfunded and unsecured right to receive cash, Shares or a combination thereof, in an amount equal to the Fair Market Value of one Share. Awards of RSUs may include the right to receive dividend equivalents. 

(jj) “Service Agreement” means any employment, severance, consulting or similar agreement between the Company or any of its
Affiliates and a Participant. 
 (kk) “Share” means a share of the Company’s Common Stock. 

(ll) “Stock Appreciation Right” or “SAR” means a right granted pursuant to Section 7. Each SAR
represents an unfunded and unsecured right to receive upon exercise, cash, Shares or a combination thereof, in an amount equal to the excess of (i) the Fair Market Value of one Share on the date of exercise or settlement over (ii) the
exercise or hurdle price of the right on the Date of Grant. 
 (mm) “Subsidiary” means an entity of which the Company
directly or indirectly holds all or a majority of the value of the outstanding equity interests of such entity or a majority of the voting power with respect to the voting securities of such entity. Whether employment by or service with a Subsidiary
is included within the scope of the Plan shall be determined by the Committee. 

  
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 (nn) “Substitute Award” means an Award granted in assumption of, or in
substitution for, an outstanding award previously granted by a company or other business acquired by the Company or with which the Company combines. 

(oo) “Termination of Service” means the cessation of a Participant’s performance of services as an Employee, Director or
Consultant for the Company or any Subsidiary; provided, however, that in the case of a Participant who is an Employee, the transfer of employment from the Company to a Subsidiary, from a Subsidiary to the Company, from one Subsidiary
to another Subsidiary or, unless the Committee determines otherwise, the cessation of employee status but the continuation of the performance of services for the Company or a Subsidiary as a Director or Consultant shall not be deemed a cessation of
service that would constitute a Termination of Service; provided, further, that a Termination of Service shall be deemed to occur for a Participant employed by, or performing services for, a Subsidiary when such Subsidiary ceases to be
a Subsidiary unless such Participant’s employment or service continues with the Company or another Subsidiary. Notwithstanding the foregoing, with respect to any Award subject to Section 409A of the Code (and not exempt therefrom), a
Termination of Service occurs when a Participant experiences a “separation of service” (as such term is defined under Section 409A of the Code). 

Section 3. Eligibility. 

(a) Any Employee, Director or Consultant shall be eligible to be selected to receive an Award under the Plan, to the extent that an offer or
receipt of an Award is permitted by applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations. 

(b) Holders of options and other types of awards granted by a company or other business that is acquired by the Company or with which the
Company combines are eligible for grants of Substitute Awards under the Plan to the extent permitted under applicable regulations of any stock exchange on which the Company is listed. 

Section 4. Administration. 

(a) Administration of the Plan. The Plan shall be administered by the Committee. All decisions of the Committee with respect to the Plan
shall be final, conclusive and binding upon all parties, including the Company, its shareholders, Participants and any Beneficiaries thereof, unless determined by a court having jurisdiction to be arbitrary and capricious. 

(b) Delegation of Authority. To the extent permitted by applicable law, including under Section 157(c) of the Delaware General
Corporation Law, the Committee may delegate to one or more officers of the Company some or all of its authority under the Plan, including the authority to grant Options and SARs or other Awards in the form of Share rights (except that such
delegation shall not apply to any Award for a Person then covered by Section 16 of the Exchange Act), and the Committee may delegate to one or more committees of the Board (which may consist of solely one Director) some or all of its authority
under the Plan, including the authority to grant all types of Awards, in accordance with applicable law. 

  
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 (c) Authority of Committee. Subject to the terms of the Plan and applicable law, the
Committee (or its delegate) shall have full discretion and authority to: 
 (i) determine when Awards are to be granted under
the Plan and the applicable Date of Grant; 
 (ii) select the eligible Award recipients to whom Awards shall be granted; 

(iii) determine the type or types of Awards (including Substitute Awards) to be granted to each Participant under the Plan;

 (iv) determine the number of Shares to be covered by (or with respect to which payments, rights or other matters are to be
calculated in connection with) Awards; 
 (v) prescribe the form of each Award Agreement and determine the terms and
conditions of any Award, which need not be identical for each Participant, including but not limited to, the exercise price, the time or times when Awards may be exercised (which may be based on performance criteria), any vesting acceleration or
waiver of forfeiture restrictions, any Performance Goals over any Performance Periods, and any restriction or limitation regarding any Award or the Shares relating thereto, based in each case on such factors as the Committee will determine; 

(vi) determine whether, to what extent, under what circumstances and by which methods Awards may be settled or exercised in
cash, Shares, other Awards, other property, net settlement, or any combination thereof, or canceled, forfeited or suspended; 

(vii) determine whether, to what extent and under what circumstances cash, Shares, other Awards, other property and other
amounts payable with respect to an Award under the Plan shall be deferred either automatically or at the election of the holder thereof or of the Committee; 

(viii) waive any conditions or rights under, amend any terms of, or amend, alter, suspend, discontinue or terminate any Award
theretofore granted, subject to the provisions of Section 14(c) below; 
 (ix) determine the duration and purpose of
leaves of absences which may be granted to a Participant without constituting termination of their employment for purposes of the Plan, which periods shall be no shorter than the periods generally applicable to Employees under the Company’s
employment policies; 

  
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 (x) make decisions with respect to outstanding Awards that may become
necessary upon a change in corporate control or an event that triggers anti-dilution adjustments; 
 (xi) allow Participants
to satisfy withholding tax obligations in a manner prescribed in Section 15(d); 
 (xii) authorize any person to execute
on behalf of the Company any instrument required to effect the grant of an Award previously granted by the Committee; 

(xiii) interpret, administer, correct any defect, supply any omission and reconcile any inconsistency in the Plan, any
instrument or agreement relating to the Plan or any Award; 
 (xiv) establish, amend, suspend, rescind or waive such rules
and regulations and appoint such agents, trustees, brokers, depositories and advisors and determine such terms of their engagement as it shall deem appropriate for the proper administration of the Plan and due compliance with applicable law, stock
market or exchange rules and regulations or accounting or tax rules and regulations; and 
 (xv) exercise discretion to make
any other determination and take any other action that the Committee deems necessary or desirable for the administration of the Plan and due compliance with applicable law, stock market or exchange rules and regulations or accounting or tax rules
and regulations. 
 Notwithstanding anything to the contrary contained herein, the Board may, in its sole discretion, at any time and from time to time,
grant Awards or administer the Plan. In any such case, the Board shall have all of the authority and responsibility granted to the Committee herein. 

(d) In addition to such other rights of indemnification as they may have as Directors or members of the Committee or otherwise, and to the
extent allowed by Applicable Laws, each person who is, either individually or as a member of the Board or a Committee, or who administers the Plan pursuant to a delegation pursuant to Section 4(b) above, shall be indemnified by the Company
against the reasonable expenses, including attorney’s fees, actually incurred in connection with any action, suit or proceeding or in connection with any appeal therein, to which the Committee or such person may be party by reason of any action
taken or failure to act under or in connection with the Plan or any Award granted under the Plan, and against all amounts paid by such person in settlement thereof (provided, however, that the settlement has been approved by the Company, which
approval shall not be unreasonably withheld) or paid by such person in satisfaction of a judgment in any such action, suit or proceeding, except in relation to matters as to which it shall be adjudged in such action, suit or proceeding that such
person did not act in good faith and in a manner which such person reasonably believed to be in the best interests of the Company, or in the case of a criminal proceeding, had no reason to believe that the conduct complained of was unlawful;
provided, however, that within 60 days after the institution of any such action, suit or proceeding, such person shall, in writing, offer the Company the opportunity at its own expense to handle and defend such action, suit or proceeding. 

  
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 Section 5. Shares Available for Awards. 

(a) Subject to adjustment as provided in Section 5(c) and except for Substitute Awards, the maximum number of Shares available for
issuance under the Plan as of the Effective Date shall equal [            ] Shares (the “Share Reserve”). 

(b) If any Award is forfeited, cancelled, expires, terminates or otherwise lapses or is settled in cash, in whole or in part, without the
delivery of Shares, then the Shares covered by such forfeited, expired, terminated or lapsed Award shall again be available for grant under the Plan. For the avoidance of doubt, any Shares withheld in respect of taxes relating to any Award,
and any Shares tendered or withheld to pay the exercise price of an Option, will not again become available for issuance under the Plan. 

(c) In the event that the Committee determines that, as a result of any dividend or other distribution (other than an ordinary dividend or
distribution), recapitalization, stock split, reverse stock split, reorganization, merger, consolidation, separation, rights offering, split-up, spin-off, combination,
repurchase or exchange of Shares or other securities of the Company, issuance of warrants or other rights to purchase Shares or other securities of the Company, issuance of Shares pursuant to the anti-dilution provisions of securities of the
Company, or other similar corporate transaction or event affecting the Shares, or of changes in applicable laws, regulations or accounting principles, an adjustment is appropriate in order to prevent dilution or enlargement of the benefits or
potential benefits intended to be made available under the Plan, then the Committee shall, subject to compliance with Section 409A of the Code and other applicable law, adjust equitably so as to ensure no undue enrichment or harm (including by
payment of cash), any or all of: 
 (i) the number and type of Shares (or other securities) which thereafter may be made the
subject of Awards, including the aggregate limits specified in Section 5(a) and Section 5(e); 
 (ii) the number
and type of Shares (or other securities) subject to outstanding Awards; and 

  
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 (iii) the grant, purchase, exercise or hurdle price with respect to any
Award or, if deemed appropriate, make provision for a cash payment to the holder of an outstanding Award. 
 (d) Shares available for
distribution under the Plan may consist, in whole or in part, of authorized and unissued shares, treasury shares or shares reacquired by the Company in any manner. 

(e) Subject to adjustment as provided in Section 5(c)(i), the maximum number of Shares available for issuance with respect to Incentive
Stock Options shall equal the Share Reserve. 
 Section 6. Options. The Committee is authorized to grant Options to
Participants with the following terms and conditions and with such additional terms and conditions, in either case not inconsistent with the provisions of the Plan, as the Committee shall determine in its discretion: 

(a) The exercise price per Share under an Option shall be determined by the Committee at the time of grant; provided, however,
that, except in the case of Substitute Awards, such exercise price shall not be less than the Fair Market Value of a Share on the date of grant of such Option. 

(b) The term of each Option shall be fixed by the Committee but shall not exceed 10 years from the date of grant of such Option. The Committee
shall determine the time or times at which an Option becomes vested and exercisable in whole or in part. 
 (c) The Committee shall determine
the method or methods by which, and the form or forms, including cash, Shares, other Awards, other property, net settlement, broker-assisted cashless exercise or any combination thereof, having a Fair Market Value on the exercise date equal to the
exercise price of the Shares as to which the Option shall be exercised, in which payment of the exercise price with respect thereto may be made or deemed to have been made. 

(d) The terms of any Incentive Stock Option granted under the Plan shall comply in all respects with the provisions of Section 422 of the
Code. Incentive Stock Options may be granted only to employees of the Company or of a parent or subsidiary corporation (as defined in Section 424 of the Code). 

Section 7. Stock Appreciation Rights. The Committee is authorized to grant SARs to Participants with the following terms
and conditions and with such additional terms and conditions, in either case not inconsistent with the provisions of the Plan, as the Committee shall determine: 

(a) SARs may be granted under the Plan to Participants either alone (“freestanding”) or in addition to other Awards granted under the
Plan (“tandem”) and may, but need not, relate to a specific Option granted under Section 6. 

  
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 (b) The exercise or hurdle price per Share under a SAR shall be determined by the Committee;
provided, however, that, except in the case of Substitute Awards, such exercise or hurdle price shall not be less than the Fair Market Value of a Share on the date of grant of such SAR. 

(c) The term of each SAR shall be fixed by the Committee but shall not exceed 10 years from the date of grant of such SAR. The Committee shall
determine the time or times at which a SAR may be exercised or settled in whole or in part. 
 (d) Upon the exercise of a SAR, the Company
shall pay to the Participant an amount equal to the number of Shares subject to the SAR multiplied by the excess, if any, of the Fair Market Value of one Share on the exercise date over the exercise or hurdle price of such SAR. The Company shall pay
such excess in cash, in Shares valued at Fair Market Value, or any combination thereof, as determined by the Committee. 
 Section 8.
Restricted Stock. The Committee is authorized to grant Awards of Restricted Stock to Participants with the following terms and conditions and with such additional terms and conditions, in either case not inconsistent with the provisions of
the Plan, as the Committee shall determine: 
 (a) The Award Agreement shall specify the vesting schedule. 

(b) Awards of Restricted Stock shall be subject to such restrictions as the Committee may impose, which restrictions may lapse separately or in
combination at such time or times, in such installments or otherwise, as the Committee may deem appropriate. 
 (c) Subject to the
restrictions set forth in the applicable Award Agreement, a Participant generally shall have the rights and privileges of a stockholder with respect to Awards of Restricted Stock, including the right to vote such Shares of Restricted Stock and the
right to receive dividends. 
 (d) The Committee may, in its discretion, specify in the applicable Award Agreement that any or all dividends
or other distributions paid on Awards of Restricted Stock prior to vesting be paid either in cash or in additional Shares and either on a current or deferred basis and that such dividends or other distributions may be reinvested in additional
Shares, which may be subject to the same restrictions as the underlying Awards. 
 (e) Any Award of Restricted Stock may be evidenced in such
manner as the Committee may deem appropriate, including book-entry registration. 
 (f) The Committee may provide in an Award Agreement that
an Award of Restricted Stock is conditioned upon the Participant making or refraining from making an election with respect to the Award under Section 83(b) of the Code. If a Participant makes an election pursuant to Section 83 (b) of the Code with respect to an Award of Restricted Stock, such Participant shall be required to file promptly a copy of
such election with the Company and the applicable Internal Revenue Service office. 

  
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 Section 9. RSUs. The Committee is authorized to grant Awards of RSUs to
Participants with the following terms and conditions and with such additional terms and conditions, in either case not inconsistent with the provisions of the Plan, as the Committee shall determine: 

(a) The Award Agreement shall specify the vesting schedule and the delivery schedule (which may include deferred delivery later than the
vesting date). 
 (b) Awards of RSUs shall be subject to such restrictions as the Committee may impose, which restrictions may lapse
separately or in combination at such time or times, in such installments or otherwise, as the Committee may deem appropriate. 
 (c) An RSU
shall not convey to a Participant the rights and privileges of a stockholder with respect to the Shares subject to such RSU, such as the right to vote or the right to receive dividends, unless and until such Shares are issued to such Participant to
settle such RSU. 
 (d) The Committee may, in its discretion, specify in the applicable Award Agreement that any or all dividend equivalents
or other distributions paid on Awards of RSUs prior to vesting or settlement, as applicable, be paid either in cash or in additional Shares and either on a current or deferred basis and that such dividend equivalents or other distributions may be
reinvested in additional Shares, which may be subject to the same restrictions as such Awards. 
 (e) Shares delivered upon the vesting and
settlement of an RSU Award may be evidenced in such manner as the Committee may deem appropriate, including book-entry registration. 
 (f)
The Committee may determine the form or forms (including cash, Shares, other Awards, other property or any combination thereof) in which payment of the amount owing upon settlement of any RSU Award may be made. 

Section 10. Performance Awards. The Committee is authorized to grant Performance Awards to Participants with the following terms
and conditions and with such additional terms and conditions, in either case not inconsistent with the provisions of the Plan, as the Committee shall determine in its discretion: 

(a) Performance Awards may be denominated as a cash amount, number of Shares or units or a combination thereof and are Awards that may be
earned upon achievement or satisfaction of performance conditions specified by the Committee. In addition, the Committee may specify that any other Award shall constitute a Performance Award by conditioning the grant to a Participant or the right of
a Participant to exercise the Award or have the Award vested or settled, and the timing thereof, upon achievement or satisfaction of such performance conditions as may be specified by the Committee. The Committee may use such business criteria and
other measures of performance as it may deem appropriate in establishing any performance conditions. Subject to the terms of the Plan, the performance goals to be achieved during any Performance Period, the length of any Performance Period, the
amount of any Performance Award granted and the amount of any payment or transfer to be made pursuant to any Performance Award shall be determined by the Committee. 

  
 13 

 (b) Each Performance Award shall include a
pre-established formula, such that payment, retention or vesting of the Award is subject to the achievement during a Performance Period or Performance Periods, as determined by the Committee, of a level or
levels of, or increases in, in each case as determined by the Committee, one or more of the following performance measures with respect to the Company: net flows; platform assets; new producing advisers; production lift from existing advisers; net
flows lift from existing advisers; total or net revenue; revenue growth; operating income; income or loss (before or after allocation of corporate overhead and bonus); net earnings; earnings per share; net income or loss; return on equity; total
shareholder return; return on assets or net assets; appreciation in and/or maintenance of share price; market share; gross profits; earnings or loss (including earnings or loss before taxes, before interest and taxes, or before earnings before
interest, taxes, depreciation and amortization, with or without adjustments); economic value-added models or equivalent metrics; comparisons with various stock market indices; reductions in costs; cash flow or cash flow per share (before or after
dividends); return on capital (including return on total capital or return on invested capital); cash flow return on investment; improvement in or attainment of expense levels or working capital levels (including cash and accounts receivable);
operating margin; gross margin; cash margin; year-end cash; debt reduction; shareholder equity; operating efficiencies; market share; customer satisfaction; customer growth or household growth; employee
satisfaction; research and development achievements; financial ratios, including those measuring liquidity, activity, profitability or leverage; cost of capital or assets under management; financing and other capital raising transactions (including
sales of the Company’s equity or debt securities; factoring transactions; sales or licenses of the Company’s assets, including its intellectual property, whether in a particular jurisdiction or territory or globally; or through partnering
transactions); implementation, completion or attainment of measurable objectives with respect to research, development, products or services, acquisitions or divestitures; factoring transactions; recruiting or maintaining personnel; or such other
performance measures as may be determined by the Committee from time to time. Performance criteria may be measured on an absolute (e.g., plan or budget) or relative basis; before or after taxes; and may be established on a corporate-wide basis or
with respect to one or more business units, divisions, subsidiaries or business segments. Performance may be measured against a group of peer companies, a financial market index or other acceptable objective and quantifiable indices. The Award
Agreement may provide that if the Committee determines that a change in the business, operations, corporate structure or capital structure of the Company, or the manner in which the Committee conducts its business, or other events or circumstances
render the performance objectives unsuitable, the Committee may modify the performance objectives or the related minimum acceptable level of achievement, in whole or in part, as the Committee deems appropriate and equitable. Performance measures may
vary from Performance Award to Performance Award, respectively, and from Participant to Participant, and may be established on a stand-alone basis, in tandem or in the alternative. The Committee shall have the power to impose such other restrictions
on Awards subject to this Section as it may deem necessary or appropriate. 

  
 14 

 (c) If the Committee determines that a change in the business, operations, corporate
structure or capital structure of the Company, or the manner in which the Company conducts its business, or other events or circumstances render the performance objectives for a Performance Award unsuitable, the Committee may modify the performance
objectives or the related minimum acceptable level of achievement, in whole or in part, as the Committee deems appropriate and equitable such that it does not provide any undue enrichment or harm. 

(d) Performance measures may vary from Performance Award to Performance Award and from Participant to Participant, and may be established on a
stand-alone basis, in tandem or in the alternative. The Committee shall have the power to impose such other restrictions on Performance Awards as it may deem necessary or appropriate to ensure that such Awards satisfy all requirements of any
applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations. 
 (e) Settlement of Performance
Awards shall be in cash, Shares, other Awards, other property, net settlement, or any combination thereof, as determined in the discretion of the Committee. 

(f) The Committee may, in its discretion, increase or reduce the amount of a settlement otherwise to be made in connection with a Performance
Award. 
 Section 11. Other Cash-Based Awards and Other Stock-Based Awards. The Committee is authorized, subject to limitations
under applicable law, to grant Other Cash-Based Awards (either independently or as an element of or supplement to any other Award under the Plan) and Other Stock-Based Awards. The Committee shall determine the terms and conditions of such Awards.
Shares delivered pursuant to an Award in the nature of a purchase right granted under this Section 11 shall be purchased for such consideration, and paid for at such times, by such methods and in such forms, including cash, Shares, other
Awards, other property, net settlement, broker-assisted cashless exercise or any combination thereof, as the Committee shall determine; provided that the purchase price therefor shall not be less than the Fair Market Value of such Shares on
the date of grant of such right. 
 Section 12. Effect of Termination of Service or a Change in Control on Awards. 

(a) The Committee may provide, by rule or regulation or in any applicable Award Agreement, or may determine in any individual case, the
circumstances in which, and the extent to which, an Award may be exercised, settled, vested, paid or forfeited in the event of a Participant’s Termination of Service prior to the end of a Performance Period or vesting, exercise or settlement of
such Award. 
 (b) Subject to the last sentence of Section 2(oo), the Committee may determine, in its discretion, whether, and the
extent to which, (i) an Award will vest during a leave of absence, (ii) a reduction in service level (for example, from full-time to part-time employment) will cause a reduction, or other change, to an Award and (iii) a leave of
absence or reduction in service will be deemed a Termination of Service. 

  
 15 

 (c) In the event of a Change in Control, the Committee may, in its sole discretion, and on
such terms and conditions as it deems appropriate, take any one or more of the following actions with respect to any outstanding Award, which need not be uniform with respect to all Participants and/or Awards: 

(i) continuation or assumption of such Award by the Company (if it is the surviving corporation) or by the successor or
surviving corporation or its parent; 
 (ii) substitution or replacement of such Award by the successor or surviving
corporation or its parent with cash, securities, rights or other property to be paid or issued, as the case may be, by the successor or surviving corporation (or a parent or subsidiary thereof), with substantially the same terms and value as such
Award (including any applicable performance targets or criteria with respect thereto); 
 (iii) acceleration of the vesting
of such Award and the lapse of any restrictions thereon and, in the case of an Option or SAR Award, acceleration of the right to exercise such Award during a specified period (and the termination of such Option or SAR Award without payment of any
consideration therefor to the extent such Award is not timely exercised), in each case, either (A) immediately prior to or as of the date of the Change in Control or (B) upon a Participant’s involuntary Termination of Service
(including upon a termination of a Participant’s employment by the Company (or a successor corporation or its parent) without “cause”, by a Participant for “good reason” and/or due to a Participant’s death or
“disability”, as such terms may be defined in the applicable Award Agreement and/or a Participant’s Service Agreement) on or within a specified period following the Change in Control; 

(iv) in the case of a Performance Award, determination of the level of attainment of the applicable performance condition(s);
and 
 (v) cancellation of such Award in consideration of a payment, with the form, amount and timing of such payment
determined by the Committee in its sole discretion, subject to the following: (A) such payment shall be made in cash, securities, rights and/or other property; (B) the amount of such payment shall equal the value of such Award, as
determined by the Committee in its sole discretion; provided that, in the case of an Option or SAR Award, if such value equals the Intrinsic Value of such Award, such value shall be deemed to be valid; provided further that, if
the Intrinsic Value of an Option or SAR Award is equal to or less than zero, the Committee may, in its sole discretion, provide for the cancellation of such Award without payment of any consideration therefor; and (C) such payment shall be made
promptly following such Change in Control or on a specified date or dates following such Change in Control; provided that the timing of such payment shall comply with Section 409A of the Code. 

  
 16 

 Section 13. General Provisions Applicable to Awards. 

(a) Awards shall be granted for such cash or other consideration, if any, as the Committee determines; provided that in no event shall
Awards be issued for less than such minimal consideration as may be required by applicable law. 
 (b) Awards may, in the discretion of the
Committee, be granted either alone or in addition to or in tandem with any other Award or any award granted under any other plan of the Company. Awards granted in addition to or in tandem with other Awards, or in addition to or in tandem with awards
granted under any other plan of the Company, may be granted either at the same time as or at a different time from the grant of such other Awards or awards. 

(c) Subject to the terms of the Plan, payments or transfers to be made by the Company upon the grant, exercise or settlement of an Award may be
made in the form of cash, Shares, other Awards, other property, net settlement, or any combination thereof, as determined by the Committee in its discretion at the time of grant, and may be made in a single payment or transfer, in installments or on
a deferred basis, in each case in accordance with rules and procedures established by the Committee. Such rules and procedures may include provisions for the payment or crediting of reasonable interest on installment or deferred payments or the
grant or crediting of dividend equivalents in respect of installment or deferred payments. 
 (d) Except as may be permitted by the Committee
or as specifically provided in an Award Agreement, (i) no Award and no right under any Award shall be assignable, alienable, saleable or transferable by a Participant other than by will or pursuant to Section 13(e) and (ii) during a
Participant’s lifetime, each Award, and each right under any Award, shall be exercisable only by such Participant or, if permissible under applicable law, by such Participant’s guardian or legal representative. The provisions of this
Section 13(d) shall not apply to any Award that has been fully exercised or settled, as the case may be, and shall not preclude forfeiture of an Award in accordance with the terms thereof. 

(e) If permitted by the Committee, a Participant may designate a Beneficiary or change a previous Beneficiary designation only at such times as
prescribed by the Committee, in its sole discretion, and only by using forms and following procedures approved or accepted by the Committee for that purpose. 

(f) All certificates for Shares and/or other securities delivered under the Plan pursuant to any Award or the exercise thereof shall be subject
to such stop transfer orders and other restrictions as the Committee may deem advisable under the Plan or the rules, regulations and other requirements of the Securities and Exchange Commission, any stock market or exchange upon which such Shares or
other securities are then quoted, traded or listed, and any applicable securities laws, and the Committee may cause a legend or legends to be put on any such certificates to make appropriate reference to such restrictions. 

  
 17 

 (g) The Committee may impose restrictions on any Award with respect to non-competition, non-solicitation, confidentiality and other restrictive covenants as it deems necessary or appropriate in its sole discretion. 

Section 14. Amendments and Terminations. 

(a) Amendment or Termination of the Plan. Except to the extent prohibited by applicable law and unless otherwise expressly provided in
an Award Agreement or in the Plan, the Board may amend, alter, suspend, discontinue or terminate the Plan or any portion thereof at any time; provided, however, that no such amendment, alteration, suspension, discontinuation or
termination shall be made without (i) shareholder approval if such approval is required by applicable law or the rules of the stock market or exchange, if any, on which the Shares are principally quoted or traded or (ii) subject to
Section 5(c) and Section 12, the consent of the affected Participant, if such action would materially adversely affect the rights of such Participant under any outstanding Award, except (x) to the extent any such amendment,
alteration, suspension, discontinuance or termination is made to cause the Plan to comply with applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations or (y) to impose any “clawback”
or recoupment provisions on any Awards (including any amounts or benefits arising from such Awards) in accordance with Section 18. Notwithstanding anything to the contrary in the Plan, the Committee may amend the Plan, or create sub-plans, in such manner as may be necessary to enable the Plan to achieve its stated purposes in any jurisdiction in a tax-efficient manner and in compliance with local
rules and regulations. 
 (b) Dissolution or Liquidation. In the event of the dissolution or liquidation of the Company, each Award
shall terminate immediately prior to the consummation of such action, unless otherwise determined by the Committee. 
 (c) Terms of
Awards. The Committee may waive any conditions or rights under, amend any terms of, or amend, alter, suspend, discontinue or terminate any Award theretofore granted, prospectively or retroactively, without the consent of any relevant Participant
or holder or Beneficiary of an Award; provided, however, that, subject to Section 5(c) and Section 12, no such action shall materially adversely affect the rights of any affected Participant or holder or Beneficiary under any
Award theretofore granted under the Plan, except (x) to the extent any such action is made to cause the Plan to comply with applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations, or
(y) to impose any “clawback” or recoupment provisions on any Awards (including any amounts or benefits arising from such Awards) in accordance with Section 18. The Committee shall be authorized to make adjustments in the terms
and conditions of, and the criteria included in, Awards in recognition of events (including the events described in Section 5(c)) affecting the Company, or the financial statements of the Company, or of changes in applicable laws, regulations
or accounting principles, whenever the Committee determines that such adjustments are appropriate in order to prevent dilution or enlargement of the benefits or potential benefits intended to be made available under the Plan. 

  
 18 

 (d) No Repricing. Notwithstanding the foregoing, except as provided in
Section 5(c), no action (including the repurchase of Options or SAR Awards (in each case, that are “out of the money”) for cash and/or other property) shall directly or indirectly, through cancellation and regrant or any other method,
reduce, or have the effect of reducing, the exercise or hurdle price of any Award established at the time of grant thereof without approval of the Company’s shareholders. 

Section 15. Miscellaneous. 

(a) No Employee, Consultant, Director, Participant, or other Person shall have any claim to be granted any Award under the Plan, and there is
no obligation for uniformity of treatment of employees, Participants or holders or Beneficiaries of Awards under the Plan. The terms and conditions of Awards need not be the same with respect to each recipient. Any Award granted under the Plan shall
be a one-time Award that does not constitute a promise of future grants. The Company, in its sole discretion, maintains the right to make available future grants under the Plan. 

(b) The grant of an Award shall not be construed as giving a Participant the right to be retained in the employ of, or to continue to provide
services to, the Company or any Subsidiary. Further, the Company or any applicable Subsidiary may at any time dismiss a Participant, free from any liability, or any claim under the Plan, unless otherwise expressly provided in the Plan or in any
Award Agreement or in any other agreement binding on the parties. The receipt of any Award under the Plan is not intended to confer any rights on the receiving Participant except as set forth in the applicable Award Agreement. 

(c) Nothing contained in the Plan shall prevent the Company from adopting or continuing in effect other or additional compensation
arrangements, and such arrangements may be either generally applicable or applicable only in specific cases. 
 (d) To the extent provided by
the terms of an Award Agreement and subject to the discretion of the Committee, the Participant may satisfy any federal, state or local tax withholding obligation relating to the exercise or acquisition of Common Stock under an Award by any of the
following means (in addition to the Company’s right to withhold from any compensation paid to the Participant by the Company) or by a combination of such means: (a) tendering a cash payment; (b) authorizing the Company to withhold
shares of Common Stock from the shares of Common Stock otherwise issuable to the Participant as a result of the exercise or acquisition of Common Stock under the Award, provided, however, that no shares of Common Stock are withheld with a value
exceeding the maximum amount of tax required to be withheld by law; or (c) delivering to the Company previously owned and unencumbered shares of Common Stock of the Company. 

(e) If any provision of the Plan or any Award Agreement is or becomes or is deemed to be invalid, illegal or unenforceable in any jurisdiction,
or as to any Person or Award, or would disqualify the Plan or any Award under any law deemed applicable by the Committee, such provision shall be construed or deemed amended to conform to 

  
 19 

 
applicable laws, or if it cannot be so construed or deemed amended without, in the determination of the Committee, materially altering the intent of the Plan or the Award Agreement, such
provision shall be stricken as to such jurisdiction, Person or Award, and the remainder of the Plan and any such Award Agreement shall remain in full force and effect. 

(f) Notwithstanding any other provision of this Plan or any Award to the contrary, no Option or other award shall be granted hereunder if, at
the time of grant, such Option or award would result in this Plan or any portion hereof being deemed a scheme involving the grant by a subsidiary of a listed issuer on the Stock Exchange of Hong Kong for options over new shares or other new
securities, or an arrangement analogous to such a scheme, that is required to comply with the requirements of Chapter 17 of the Main Board Listing Rules of the Stock Exchange of Hong Kong or any successor thereto (as amended from time to time,
“Chapter 17 of the HKEX Listing Rules”), other than pursuant to a sub-plan or other scheme that satisfies all the requirements of Chapter 17 of the HKEX Listing Rules. 

(g) Neither the Plan nor any Award shall create or be construed to create a trust or separate fund of any kind or a fiduciary relationship
between the Company and a Participant or any other Person. To the extent that any Person acquires a right to receive payments from the Company pursuant to an Award, such right shall be no greater than the right of any unsecured general creditor of
the Company. 
 (h) No fractional Shares shall be issued or delivered pursuant to the Plan or any Award, and the Committee shall determine
whether cash or other securities shall be paid or transferred in lieu of any fractional Shares, or whether such fractional Shares or any rights thereto shall be canceled, terminated or otherwise eliminated. 

(i) Awards may be granted to Participants who are non-United States nationals or employed or providing
services outside the United States, or both, on such terms and conditions different from those applicable to Awards to Participants who are employed or providing services in the United States as may, in the judgment of the Committee, be necessary or
desirable to recognize differences in local law, tax policy or custom. The Committee also may impose conditions on the exercise or vesting of Awards in order to minimize the Company’s obligation with respect to tax equalization for Participants
on assignments outside their home country. 
 Section 16. Effective Date of the Plan. The Plan shall be effective as of the
Effective Date, provided that the Board and the Company’s stockholders may approve the Plan prior to such date. 

Section 17. Term of the Plan. No Award shall be granted under the Plan after the earliest to occur of (i) the 10-year anniversary of the Effective Date; (ii) the maximum number of Shares available for issuance under the Plan have been issued; or (iii) the Board terminates the Plan in accordance with
Section 14(a). However, unless otherwise expressly provided in the Plan or in an applicable Award Agreement, any Award theretofore granted may extend beyond such date, and the authority of the Committee to amend, alter, adjust, suspend,
discontinue or terminate any such Award, or to waive any conditions or rights under any such Award, and the authority of the Board to amend the Plan, shall extend beyond such date. 

  
 20 

 Section 18. “Clawback” of Awards. Notwithstanding
any other provisions in this Plan, the Company may cancel any Award, require reimbursement of any Award by a Participant, and effect any other right of recoupment of equity or other compensation provided under the Plan in accordance with any Company
policies that may be adopted and/or modified from time to time (“Clawback Policy”). In addition, a Participant may be required to repay to the Company previously paid compensation, whether provided pursuant to the Plan or an Award
Agreement, in accordance with the Clawback Policy. By accepting an Award, the Participant is agreeing to be bound by the Clawback Policy, as in effect or as may be adopted and/or modified from time to time by the Company in its discretion
(including, without limitation, to comply with applicable law or stock exchange listing requirements). 
 Section 19.
Section 409A of the Code. With respect to Awards subject to Section 409A of the Code, the Plan is intended to comply with the requirements of Section 409A of the Code, and the provisions of the Plan and any Award
Agreement shall be interpreted in a manner that satisfies the requirements of Section 409A of the Code, and the Plan shall be operated accordingly. If any provision of the Plan or any term or condition of any Award would otherwise frustrate or
conflict with this intent, the provision, term or condition shall be interpreted and deemed amended so as to avoid this conflict. Notwithstanding anything in the Plan to the contrary, if the Board considers a Participant to be a “specified
employee” under Section 409A of the Code at the time of such Participant’s “separation from service” (as defined in Section 409A of the Code), and any amount hereunder is “deferred compensation” subject to
Section 409A of the Code, any distribution of such amount that otherwise would be made to such Participant with respect to an Award as a result of such “separation from service” shall not be made until the date that is six months
after such “separation from service,” except to the extent that earlier distribution would not result in such Participant’s incurring interest or additional tax under Section 409A of the Code. If an Award includes a “series
of installment payments” (within the meaning of Section 1.409A-2(b)(2)(iii) of the Treasury Regulations), a Participant’s right to such series of installment payments shall be treated as a right
to a series of separate payments and not as a right to a single payment, and if an Award includes “dividend equivalents” (within the meaning of Section 1.409A-3(e) of the Treasury Regulations),
a Participant’s right to such dividend equivalents shall be treated separately from the right to other amounts under the Award. Notwithstanding the foregoing, the tax treatment of the benefits provided under the Plan or any Award Agreement is
not warranted or guaranteed, and in no event shall the Company be liable for all or any portion of any taxes, penalties, interest or other expenses that may be incurred by a Participant on account of
non-compliance with Section 409A of the Code. 
 Section 20. Successors and
Assigns. The terms of the Plan shall be binding upon and inure to the benefit of the Company and any successor entity, including any successor entity contemplated by Section 12(c). 

  
 21 

 Section 21. Data Protection. By participating in the Plan, a Participant
consents to the holding and processing of personal information provided by such Participant to the Company or any Affiliate, trustee or third party service provider, for all purposes relating to the operation of the Plan. These include: 

(a) administering and maintaining Participant records; 

(b) providing information to the Company, any Subsidiary, trustees of any employee benefit trust, registrars, brokers or third party
administrators of the Plan; 
 (c) providing information to future purchasers or merger partners of the Company or any Affiliate, or the
business in which such Participant works; and 
 (d) transferring information about such Participant to any country or territory that may not
provide the same protection for the information as such Participant’s home country. 
 Section 22. Governing Law. The Plan
and each Award Agreement shall be governed by the laws of the State of Delaware, without application of the conflicts of law principles thereof. 

  
 22 

 ASSETMARK FINANCIAL HOLDINGS, INC. 

NOTICE OF RESTRICTED STOCK AWARD 
 Except
as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Award (this “Notice”) shall have the meaning ascribed to such term in the AssetMark Financial Holdings, Inc. 2019 Equity Incentive
Plan (as it may be amended from time to time, the “Plan”). 
 Name: [•]

Address: [•] 
 The undersigned
Participant has been granted an Award of Restricted Stock (the “Award”) under the Plan, subject to the terms and conditions of the Plan, this Notice and the attached Restricted Stock Award Agreement. 

 

			
	Shares of Restricted Stock:	  	[•]
		
	Date of Grant:	  	[•]
		
	Rights of Shareholder:	  	
		
	 Voting:
	  	Included
		
	 Dividends:
	  	Included
		
	Vesting Commencement Date:	  	[•]
		
	Vesting Schedule:	  	Subject to Section 2 of the Restricted Stock Award Agreement, the Award will vest in accordance with the following schedule:
	
	 [•]

 By signing where indicated below, AssetMark Financial Holdings, Inc. (the “Company”) grants the Award to the
Participant upon the terms and conditions set forth in this Notice and the Restricted Stock Award Agreement, and the applicable provisions of the Plan, and the Participant acknowledges receipt of the Award and agrees to observe and be bound by such
terms and conditions. 
  

							
	Participant:	 		 	AssetMark Financial Holdings, Inc.
				
	  
	 		 	By:	 	  

	[•]	 		 		 	Name:
		 		 		 	Title:

  
 1 

 ASSETMARK FINANCIAL HOLDINGS, INC. 

2019 EQUITY INCENTIVE PLAN 

RESTRICTED STOCK AWARD AGREEMENT 

This Restricted Stock Award Agreement (this “Agreement”) is made and entered into as of Grant Date (the “Grant
Date”) set forth in the Notice of Restricted Stock Award to which this Agreement is attached (the “Notice”) by and among AssetMark Financial Holdings, Inc. (the “Company”) and the Participant (the
“Participant”) set forth in the Notice. 
 WHEREAS, the Company has adopted the AssetMark Financial Holdings, Inc. 2019
Equity Incentive Plan (as it may be amended from time to time, the “Plan”), pursuant to which Awards of Restricted Stock may be granted; and 

WHEREAS, the Company has determined that it is in the best interests of the Company and its shareholders to grant the Award of Restricted
Stock provided for herein; and 
 NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows: 

1. Grant of Restricted Stock Award; Consideration. Pursuant to Section 8 of the Plan, the Company hereby issues to
the Participant on the Grant Date an Award of Restricted Stock on the terms and conditions and subject to the restrictions set forth in the Notice, this Agreement and the Plan (the “Award”). The number of Shares of Restricted Stock
granted pursuant to the Award is set forth in the Notice. The Award is made in consideration of the services to be rendered by Participant to the Company and to any Affiliate of the Company that the Participant serves as an Employee, Consultant or
Director (the Company and each such Affiliate, as applicable, the “Employer”). 
 2. Restricted Period;
Vesting. Except as otherwise provided herein, provided that the Participant does not experience a Termination of Service prior to the applicable vesting date[, and further provided that any additional conditions and performance goals
set forth in Schedule [ ] have been satisfied] subject to Section 2, the Award shall vest according to the vesting schedule set forth in the Notice. The “Restricted Period” shall mean the period during which the Award remains
outstanding and not fully vested. 
 3. Termination of Service. In the event of the Participant’s Termination of
Service for any reason, any Restricted Stock that are not vested as of the date of such Termination of Service will be forfeited. 
 4.
Change in Control; Adjustments. In the event of a Change in Control while the Restricted Stock remains outstanding and unvested, the Restricted Stock will be treated in accordance with Section 12(c) of the Plan. If any change is
made to the outstanding Common Stock or the capital structure of the Company, the Committee may make adjustments in the terms and conditions of, and the criteria included in the Restricted Stock in any manner as contemplated by Section 14(c) of
the Plan. 

  
 2 

 5. Restrictions. Subject to any exceptions set forth in this Agreement
or the Plan or as otherwise permitted by the Committee, during the Restricted Period, neither the Restricted Stock nor any rights relating thereto may be assigned, alienated, pledged, attached, sold or otherwise transferred or encumbered by the
Participant other than by will or pursuant to the laws of descent and distribution. Any attempt to assign, alienate, pledge, attach, sell or otherwise transfer or encumber the Restricted Stock or any rights relating thereto in contravention of this
Agreement or the Plan shall be wholly ineffective. This provision shall not apply to any portion of the Award that has been vested and fully settled and shall not preclude forfeiture of any portion of the Award in accordance with the terms herein.

 6. Rights as a Shareholder. 

(a) Voting Rights. The Participant shall be the record owner of the Restricted Stock until such Shares are
sold or otherwise disposed of, and shall be entitled to all of the rights of a shareholder of the Company including, without limitation, the right to vote such shares and receive all dividends or other distributions paid with respect to such shares.
Notwithstanding the foregoing, any dividends or other distributions shall be subject to the same restrictions on transferability as the shares of Restricted Stock with respect to which they were paid. 

(b) Documentation of Issuance. The Company may issue stock certificates or evidence the Participant’s
interest by using a restricted book entry account with the Company’s transfer agent. Physical possession or custody of any stock certificates that are issued shall be retained by the Company until such time as the Restricted Stock vests. 

(c) Legend. A legend may be placed on any certificate(s) or other document(s) delivered to the Participant
indicating restrictions on transferability of the shares of Restricted Stock pursuant to this Agreement or any other restrictions that the Committee may deem advisable under the rules, regulations and other requirements of the Securities and
Exchange Commission, any applicable federal or state securities laws or any stock exchange on which the shares of Common Stock are then listed or quoted. 

(d) Forfeiture. If the Participant forfeits any rights he or she has under this Agreement in accordance
with Section 3, the Participant shall, on the date of such forfeiture, no longer have any rights as a shareholder with respect to the Restricted Stock and shall no longer be entitled to vote or receive dividends on such shares. 

7. Section 83(b) Election. The Participant may make an election under Code Section 83(b) (a
“Section 83(b) Election”) with respect to the Restricted Stock. Any such election must be made within thirty (30) days after the Grant Date. If the Participant elects to make a Section 83(b) Election,
the Participant shall provide the Company with a copy of an executed version and satisfactory evidence of the filing of the executed Section 83(b) Election with the Internal Revenue Service. The Participant agrees to assume full responsibility
for ensuring that the Section 83(b) Election is actually and timely filed with the Internal Revenue Service and for all tax consequences resulting from the Section 83(b) Election. 

  
 3 

 8. Responsibility for Taxes. 

(a) The Participant shall be required to pay to the Company, and the Company shall have the right to deduct from any
compensation paid to the Participant pursuant to the Plan, the amount of any required withholding taxes in respect of the Restricted Stock and to take all such other action as the Committee deems necessary to satisfy all obligations for the payment
of such withholding taxes. The Committee may permit the Participant to satisfy any federal, state or local tax withholding obligation by any of the following means, or by a combination of such means: 

(i) tendering a cash payment. 

(ii) authorizing the Company to withhold shares of Common Stock from the shares of Common Stock otherwise issuable or
deliverable to the Participant as a result of the vesting of the Restricted Stock; provided, however, that no shares of Common Stock shall be withheld with a value exceeding the maximum amount of tax required to be withheld by law. 

(iii) delivering to the Company previously owned and unencumbered shares of Common Stock. 

(b) Notwithstanding any action the Company takes with respect to any or all income tax, social insurance, payroll tax, or other
tax-related withholding (“Tax-Related Items”), the ultimate liability for all Tax-Related Items is and remains
the Participant’s responsibility and the Company (i) makes no representation or undertakings regarding the treatment of any Tax-Related Items in connection with the grant, or vesting or settlement of
the Restricted Stock or the subsequent sale of any shares; and (ii) does not commit to structure the Award or the Restricted Stock to reduce or eliminate the Participant’s liability for Tax-Related
Items. 
 9. Not Salary, Pensionable Earnings or Base Pay. The Participant acknowledges that the Award shall not be
included in or deemed to be a part of (a) salary, normal salary or other ordinary compensation, (b) any definition of pensionable or other earnings (however defined) for the purpose of calculating any benefits payable to or on behalf of
the Participant under any pension, retirement, termination or dismissal indemnity, severance benefit, retirement indemnity or other benefit arrangement of the Company or any Affiliate (including the Employer) or (c) any calculation of base pay
or regular pay for any purpose. 
 10. Cancellation/Clawback. The Participant hereby acknowledges and agrees that
the Participant and the Award are subject to the terms and conditions of Section 18 of the Plan. 
 11. Provisions of Plan
Control. This Agreement is subject to all the terms, conditions and provisions of the Plan, including the amendment provisions thereof, and to such rules, regulations and interpretations relating to the Plan as may be adopted by the
Committee and as may be in effect from time to time. The Plan is incorporated herein by reference. If and to the extent that this Agreement conflicts or is inconsistent with the Plan, the Plan shall control, and this Agreement shall be deemed to be
modified accordingly. 
 12. Notices. Any notice required or permitted to be given under this Agreement shall be in
writing and shall be deemed to have been given when delivered personally or by courier, or sent by certified or registered mail, postage prepaid, return receipt requested, duly addressed to the party concerned at the address indicated below or to
such changed address as such party may subsequently by similar process give notice of: 

  
 4 

 If to the Company: 

AssetMark Financial Holdings, Inc. 

[Address] 
 Attention:
[    ] 
 Email: [    ] 

If to the Participant, to the address of the Participant on file with the Company. 

13. No Right to Continued Service. Neither the Plan, the Notice or this Agreement shall be construed as giving the
Participant any right to be retained in the employ of, or to continue to provide services to, the Company or any Affiliate (including the Employer). 

14. No Right to Future Awards. Any Award granted under the Plan shall be a
one-time Award that does not constitute a promise of future grants. The Company, in its sole discretion, maintains the right to make available future grants under the Plan. 

15. Entire Agreement. This Agreement, the Plan, the Notice and any other agreements, schedules, exhibits and other
documents referred to herein or therein constitute the entire agreement and understanding between the parties in respect of the subject matter hereof and supersede all prior and contemporaneous arrangements, agreements and understandings, both oral
and written, whether in term sheets, presentations or otherwise, between the parties with respect to the subject matter hereof. 
 16.
Severability. If any provision of this Agreement is or becomes or is deemed to be invalid, illegal or unenforceable in any jurisdiction, or would disqualify the Plan or this Agreement under any law deemed applicable by the
Board, such provision shall be construed or deemed amended to conform to applicable laws, or if it cannot be so construed or deemed amended without, in the determination of the Board, materially altering the intent of this Agreement, such provision
shall be stricken as to such jurisdiction, and the remainder of this Agreement shall remain in full force and effect. 
 17. Amendment;
Waiver. No amendment or modification of any provision of this Agreement that has a material adverse effect on the Participant shall be effective unless signed in writing by or on behalf of the Company and the Participant;
provided that the Company may amend or modify this Agreement without the Participant’s consent in accordance with the provisions of the Plan or as otherwise set forth in this Agreement. No waiver of any breach or condition of this
Agreement shall be deemed to be a waiver of any other or subsequent breach or condition, whether of like or different nature. Any amendment or modification of or to any provision of this Agreement, or any waiver of any provision of this Agreement,
shall be effective only in the specific instance and for the specific purpose for which such amendment, modification or waiver is made or given. 

18. Assignment. Neither this Agreement nor any right, remedy, obligation or liability arising hereunder or by reason
hereof shall be assignable by the Participant. 

  
 5 

 19. Successors and Assigns; No Third-Party Beneficiaries. This
Agreement shall inure to the benefit of and be binding upon the Company and the Participant and their respective heirs, successors, legal representatives and permitted assigns. Nothing in this Agreement, express or implied, is intended to confer on
any Person other than the Company and the Participant, and their respective heirs, successors, legal representatives and permitted assigns, any rights, remedies, obligations or liabilities under or by reason of this Agreement. 

20. Dispute Resolution. All controversies and claims arising out of or relating to this Agreement, or the breach hereof,
shall be settled by the Company’s or the Employer’s mandatory dispute resolution procedures, if any, as may be in effect from time to time with respect to matters arising out of or relating to the Participant’s employment with the
Company or the Employer. 
 21. Governing Law; Venue. All matters arising out of or relating to this
Agreement and the transactions contemplated hereby, including its validity, interpretation, construction, performance and enforcement, shall be governed by and construed in accordance with the internal laws of the State of Delaware, without giving
effect to its principles of conflict of laws. For purposes of any action, lawsuit or other proceedings brought to enforce this Agreement, relating to it, or arising from it, the parties hereby submit to and consent to the sole and exclusive
jurisdiction of the courts of Santa Clara County, California, or the federal courts for the United States for the Northern District of California, and no other courts. 

22. Imposition of other Requirements and Participant Undertaking. The Company reserves the right to impose other
requirements on the Participant’s participation in the Plan, on the Award and on any Shares to be issued upon settlement of the Award, to the extent the Company determines it is necessary or advisable for legal or administrative reasons. The
Participant agrees to take whatever additional action and execute whatever additional documents the Company may deem necessary or advisable to accomplish the foregoing or to carry out or give effect to any of the obligations or restrictions imposed
on either the Participant or the Restricted Stock pursuant to this Agreement. 
 23. References. References herein to
rights and obligations of the Participant shall apply, where appropriate, to the Participant’s legal representative or estate without regard to whether specific reference to such legal representative or estate is contained in a particular
provision of this Agreement. 

  
 6 

 ASSETMARK FINANCIAL HOLDINGS, INC. 

NOTICE OF RESTRICTED STOCK UNIT AWARD 

Except as otherwise indicated, any capitalized term used but not defined in this Notice of Restricted Stock Unit Award (this “Notice”) shall
have the meaning ascribed to such term in the AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan (as it may be amended from time to time, the “Plan”). 

Name: [•]
 Address:
[•] 
 The undersigned Participant has been granted an Award of Restricted Stock Units or RSUs (the “Award”) under the Plan,
subject to the terms and conditions of the Plan, this Notice and the attached Restricted Stock Unit Award Agreement. 
  

			
	Number of RSUs:	  	[•]
		
	Date of Grant:	  	[•]
		
	Dividend Equivalents:	  	[Not] Included
		
	Vesting Commencement Date:	  	[•]
		
	Vesting Schedule:	  	Subject to Section 2 of the Restricted Stock Unit Award Agreement, the Award will vest in accordance with the following schedule:
	
	 [•]

 By signing where indicated below, AssetMark Financial Holdings, Inc. (the “Company”) grants the Award to the
Participant upon the terms and conditions set forth in this Notice and the Restricted Stock Unit Award Agreement, and the applicable provisions of the Plan, and the Participant acknowledges receipt of the Award and agrees to observe and be bound by
such terms and conditions. 
  

							
	Participant:	 		 	AssetMark Financial Holdings, Inc.
				
	  
	 		 	By:	 	  

	[•]	 		 		 	Name:
		 		 		 	Title:

  
 1 

 ASSETMARK FINANCIAL HOLDINGS, INC. 

2019 EQUITY INCENTIVE PLAN 

RESTRICTED STOCK UNIT AWARD AGREEMENT 

This Restricted Stock Unit Award Agreement (this “Agreement”) is made and entered into as of Grant Date (the “Grant
Date”) set forth in the Notice of Restricted Stock Unit Award to which this Agreement is attached (the “Notice”) by and among AssetMark Financial Holdings, Inc. (the “Company”) and the Participant (the
“Participant”) set forth in the Notice. 
 WHEREAS, the Company has adopted the AssetMark Financial Holdings, Inc. 2019
Equity Incentive Plan (as it may be amended from time to time, the “Plan”), pursuant to which Awards of Restricted Stock Units may be granted; and 

WHEREAS, the Company has determined that it is in the best interests of the Company and its shareholders to grant the Award of Restricted
Stock Units or RSUs provided for herein; and 
 NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows: 

1. Grant of Restricted Stock Award; Consideration. Pursuant to Section 9 of the Plan, the Company hereby issues to
the Participant on the Grant Date an Award of RSUs on the terms and conditions and subject to the restrictions set forth in the Notice, this Agreement and the Plan (the “Award”). The number of RSUs granted pursuant to the Award is
set forth in the Notice. Each RSU shall represent the right to receive one Share upon the vesting of such RSU, as determined in accordance with and subject to the terms of this Agreement, the Plan and the Notice. The Award is made in consideration
of the services to be rendered by Participant to the Company and to any Affiliate of the Company that the Participant serves as an Employee, Consultant or Director (the Company and each such Affiliate, as applicable, the
“Employer”). 
 2. Restricted Period; Vesting. Except as otherwise provided herein, provided that the
Participant does not experience a Termination of Service prior to the applicable vesting date[, and further provided that any additional conditions and performance goals set forth in Schedule [ ] have been satisfied] subject to Section 3, the
Award shall vest according to the vesting schedule set forth in the Notice. The “Restricted Period” shall mean the period during which the Award remains outstanding and not fully vested. 

3. Termination of Service. In the event of the Participant’s Termination of Service for any reason, any RSUs that are
not vested as of the date of such Termination of Service will be forfeited. 
 4. Change in Control; Adjustments. In the
event of a Change in Control while the RSUs remain outstanding and unvested, the RSUs will be treated in accordance with Section 12(c) of the Plan. If any change is made to the outstanding Common Stock or the capital structure of the Company,
the Committee may make adjustments in the terms and conditions of, and the criteria included in, the RSUs in any manner as contemplated by Section 14(c) of the Plan. 

  
 2 

 5. Restrictions. Subject to any exceptions set forth in this Agreement
or the Plan or as otherwise permitted by the Committee, during the Restricted Period and until such time as the RSUs are settled in accordance with Section 7, neither the RSUs nor any rights relating thereto may be assigned, alienated, pledged,
attached, sold or otherwise transferred or encumbered by the Participant other than by will or pursuant to the laws of descent and distribution. Any attempt to assign, alienate, pledge, attach, sell or otherwise transfer or encumber the RSUs or any
rights relating thereto in contravention of this Agreement or the Plan shall be wholly ineffective. This provision shall not apply to any portion of the Award that has been vested and fully settled and shall not preclude forfeiture of any portion of
the Award in accordance with the terms herein. 
 6. No Rights as a Shareholder. 

(a) No Voting Rights. The Participant shall have no voting rights or any other rights as a shareholder of
the Company with respect to the RSUs unless and until such time as the RSUs are settled in accordance with Section 7. 

(b) Dividend Equivalents. If the Notice specifically designates the Award as providing for dividend
equivalents, and a cash dividend is declared on Shares with a record date that is within the period commencing on the Grant Date and ending on the date on which the Shares underlying the RSUs are distributed to the Participant pursuant to this
Agreement, then the Participant shall be eligible to receive an amount in cash (a “Dividend Equivalent”) equal to the dividend that the Participant would have received had the Shares underlying the RSUs been held by the Participant
as of the time at which such dividend was declared. Any such Dividend Equivalent will be paid to the Participant in cash as soon as reasonably practicable (and in no event later than 30 days) after the applicable Vesting Date of the corresponding
RSUs. For clarity, no Dividend Equivalent will be paid with respect to any RSUs that are forfeited. 
 (c)
Forfeiture. If the Participant forfeits any rights he or she has under this Agreement in accordance with Section 3, the Participant shall no longer be entitled to receive any Dividend Equivalents with respect to the Award.

 7. Distribution of Shares. Subject to the provisions of this Agreement, upon the vesting of any of the RSUs, the
Company shall, as soon as reasonably practicable (and in no event later than 30 days) after the applicable Vesting Date, (a) issue and deliver to the Participant one Share for each such RSU, and (b) make a cash payment to the Participant
equal to the amount of any Dividend Equivalents credited with respect to such RSUs and any interest credited thereon or, at the discretion of the Committee, Shares having a Fair Market Value equal to such amount. Upon delivery, all such Shares shall
be fully assignable, alienable, saleable and transferrable by the Participant; provided that any such assignment, alienation, sale, transfer or other alienation with respect to such Shares shall be in accordance with applicable securities
laws and any applicable Company policy. 

  
 3 

 8. Responsibility for Taxes. 

(a) The Participant shall be required to pay to the Company, and the Company shall have the right to deduct from any
compensation paid to the Participant pursuant to the Plan, the amount of any required withholding taxes in respect of the RSUs and to take all such other action as the Committee deems necessary to satisfy all obligations for the payment of such
withholding taxes. The Committee may permit the Participant to satisfy any federal, state or local tax withholding obligation by any of the following means, or by a combination of such means: 

(i) tendering a cash payment. 

(ii) authorizing the Company to withhold shares of Common Stock from the shares of Common Stock otherwise issuable or
deliverable to the Participant as a result of the vesting of the RSUs; provided, however, that no shares of Common Stock shall be withheld with a value exceeding the maximum amount of tax required to be withheld by law. 

(iii) delivering to the Company previously owned and unencumbered shares of Common Stock. 

(b) Notwithstanding any action the Company takes with respect to any or all income tax, social insurance, payroll tax, or other
tax-related withholding (“Tax-Related Items”), the ultimate liability for all Tax-Related Items is and remains
the Participant’s responsibility and the Company (i) makes no representation or undertakings regarding the treatment of any Tax-Related Items in connection with the grant, or vesting or settlement of
the RSUs or the subsequent sale of any shares; and (ii) does not commit to structure the Award or the RSUs to reduce or eliminate the Participant’s liability for Tax-Related Items. 

9. Not Salary, Pensionable Earnings or Base Pay. The Participant acknowledges that the Award shall not be included in or
deemed to be a part of (a) salary, normal salary or other ordinary compensation, (b) any definition of pensionable or other earnings (however defined) for the purpose of calculating any benefits payable to or on behalf of the Participant
under any pension, retirement, termination or dismissal indemnity, severance benefit, retirement indemnity or other benefit arrangement of the Company or any Affiliate (including the Employer) or (c) any calculation of base pay or regular pay
for any purpose. 
 10. Cancellation/Clawback. The Participant hereby acknowledges and agrees that the
Participant and the Award are subject to the terms and conditions of Section 18 of the Plan. 
 11. Provisions of Plan
Control. This Agreement is subject to all the terms, conditions and provisions of the Plan, including the amendment provisions thereof, and to such rules, regulations and interpretations relating to the Plan as may be adopted by the
Committee and as may be in effect from time to time. The Plan is incorporated herein by reference. If and to the extent that this Agreement conflicts or is inconsistent with the Plan, the Plan shall control, and this Agreement shall be deemed to be
modified accordingly. 

  
 4 

 12. Notices. Any notice required or permitted to be given under this
Agreement shall be in writing and shall be deemed to have been given when delivered personally or by courier, or sent by certified or registered mail, postage prepaid, return receipt requested, duly addressed to the party concerned at the address
indicated below or to such changed address as such party may subsequently by similar process give notice of: 
 If to the Company: 

AssetMark Financial Holdings, Inc. 

[Address] 
 Attention:
[    ] 
 Email: [    ] 

If to the Participant, to the address of the Participant on file with the Company. 

13. No Right to Continued Service. Neither the Plan, the Notice or this Agreement shall be construed as giving the
Participant any right to be retained in the employ of, or to continue to provide services to, the Company or any Affiliate (including the Employer). 

14. No Right to Future Awards. Any Award granted under the Plan shall be a
one-time Award that does not constitute a promise of future grants. The Company, in its sole discretion, maintains the right to make available future grants under the Plan. 

15. Entire Agreement. This Agreement, the Plan, the Notice and any other agreements, schedules, exhibits and other
documents referred to herein or therein constitute the entire agreement and understanding between the parties in respect of the subject matter hereof and supersede all prior and contemporaneous arrangements, agreements and understandings, both oral
and written, whether in term sheets, presentations or otherwise, between the parties with respect to the subject matter hereof. 
 16.
Severability. If any provision of this Agreement is or becomes or is deemed to be invalid, illegal or unenforceable in any jurisdiction, or would disqualify the Plan or this Agreement under any law deemed applicable by the
Board, such provision shall be construed or deemed amended to conform to applicable laws, or if it cannot be so construed or deemed amended without, in the determination of the Board, materially altering the intent of this Agreement, such provision
shall be stricken as to such jurisdiction, and the remainder of this Agreement shall remain in full force and effect. 
 17. Amendment;
Waiver. No amendment or modification of any provision of this Agreement that has a material adverse effect on the Participant shall be effective unless signed in writing by or on behalf of the Company and the Participant;
provided that the Company may amend or modify this Agreement without the Participant’s consent in accordance with the provisions of the Plan or as otherwise set forth in this Agreement. No waiver of any breach or condition of this
Agreement shall be deemed to be a waiver of any other or subsequent breach or condition, whether of like or different nature. Any amendment or modification of or to any provision of this Agreement, or any waiver of any provision of this Agreement,
shall be effective only in the specific instance and for the specific purpose for which such amendment, modification or waiver is made or given. 

  
 5 

 18. Assignment. Neither this Agreement nor any right, remedy,
obligation or liability arising hereunder or by reason hereof shall be assignable by the Participant. 
 19. Successors and Assigns; No
Third-Party Beneficiaries. This Agreement shall inure to the benefit of and be binding upon the Company and the Participant and their respective heirs, successors, legal representatives and permitted assigns. Nothing in this
Agreement, express or implied, is intended to confer on any Person other than the Company and the Participant, and their respective heirs, successors, legal representatives and permitted assigns, any rights, remedies, obligations or liabilities
under or by reason of this Agreement. 
 20. Dispute Resolution. All controversies and claims arising out of or relating
to this Agreement, or the breach hereof, shall be settled by the Company’s or the Employer’s mandatory dispute resolution procedures, if any, as may be in effect from time to time with respect to matters arising out of or relating to the
Participant’s employment with the Company or the Employer. 
 21. Governing Law; Venue. All matters
arising out of or relating to this Agreement and the transactions contemplated hereby, including its validity, interpretation, construction, performance and enforcement, shall be governed by and construed in accordance with the internal laws of the
State of Delaware, without giving effect to its principles of conflict of laws. For purposes of any action, lawsuit or other proceedings brought to enforce this Agreement, relating to it, or arising from it, the parties hereby submit to and consent
to the sole and exclusive jurisdiction of the courts of Santa Clara County, California, or the federal courts for the United States for the Northern District of California, and no other courts. 

22. Imposition of other Requirements and Participant Undertaking. The Company reserves the right to impose other
requirements on the Participant’s participation in the Plan, on the Award and on any Shares to be issued upon settlement of the Award, to the extent the Company determines it is necessary or advisable for legal or administrative reasons. The
Participant agrees to take whatever additional action and execute whatever additional documents the Company may deem necessary or advisable to accomplish the foregoing or to carry out or give effect to any of the obligations or restrictions imposed
on either the Participant or the RSU pursuant to this Agreement. 
 23. References. References herein to rights and
obligations of the Participant shall apply, where appropriate, to the Participant’s legal representative or estate without regard to whether specific reference to such legal representative or estate is contained in a particular provision of
this Agreement. 

  
 6EX-10.11

 Exhibit 10.11 

ASSETMARK FINANCIAL HOLDINGS, INC. 

STOCK OPTION AWARD NOTICE AND AGREEMENT 

This Stock Option Award Notice and Agreement (the “Option Agreement”) is made as of the Date of Grant set forth below, by and between
AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient identified in the Notice below (the “Recipient”). 
  

	I.	 STOCK OPTION AWARD NOTICE 

 

			
	Recipient:	  	[●]
	Address:	  	[●]

 The Company has awarded to the Recipient an option to purchase the Company’s common stock, $0.001 par value per share,
(the “Common Stock”) subject to the terms and conditions of the Option Agreement attached hereto, as follows: 
  

			
	Date of Grant:	  	[●]
	Vesting Commencement Date:	  	[●]
	Exercise Price per Share:	  	[●]
	Total Number of Shares:	  	[●]
	Exercise Price Per Share:	  	[●]
	Type of Option:	  	[●]
	Expiration Date:	  	[●]

 Vesting Schedule: 
 This
option shall be exercisable, in whole or in part, according to the following vesting schedule: 
 [●] 

 

	II.	 AGREEMENT 

1.    Award of Option. 

(a)    The Board of Directors of the Company hereby awards to the Recipient named in the Stock Option Award Notice in Part
I of this Notice and Agreement (the “Notice”), an option (the “Option”) to purchase up to the total number of shares of Common Stock set forth in the Notice, effective as of the Date of Grant set forth in the Notice
(the “Grant Date”), at the exercise price per share set forth in the Notice of Stock Option Grant (the “Exercise Price”), and subject to the terms and conditions of this Option Agreement. 

(b)    Option Type. If designated in the Notice as an “Incentive Stock Option” or “ISO”, this
Option is intended to qualify as an incentive stock option as defined in Section 422 of the Code (such an option, to the extent compliant with such definition, an “Incentive Stock Option”). The Option shall be regarded as a “Non-statutory Stock Option” or “NSO” (a “Non-Statutory Stock Option”) if designated as such in the Notice, or if the Option is designated
as an “ISO” but fails to comply with the requirements of Section 422 of the Code, for any reason. In no event shall the Board of Directors, the Company or any Parent or Subsidiary or any of their respective employees or directors have
any liability to Recipient (or any other person) due to the failure of the Option to qualify for any reason as an ISO. 

 (c)    Consideration. The grant of the Option is made in
consideration of the services to be rendered by the Recipient to the Company 
 2.    Exercise of Option. 

(a)    Right to Exercise. This Option shall be exercisable during its term in accordance with the Vesting Schedule
set out in the Notice and with the applicable provisions of this Option Agreement. In no event shall the Option be exercisable after the Expiration Date set forth in the Notice (the “Expiration Date”), at which time the Option
(whether vested or unvested) shall immediately terminate. 
 (b)    Method of Exercise. This Option shall be
exercisable by delivery of an exercise notice in the form attached as Exhibit A (the “Exercise Notice”) or in a manner and pursuant to such procedures as the Board of Directors may determine, which shall
state the election to exercise the Option, the number of Shares with respect to which the Option is being exercised (the “Exercised Shares”), and such other representations and agreements as may be required by the Company. The
Exercise Notice shall be accompanied by payment of the aggregate Exercise Price as to all Exercised Shares, together with any applicable tax withholding. This Option shall be deemed to be exercised upon receipt by the Company of such fully executed
Exercise Notice accompanied by payment of the aggregate Exercise Price, together with any applicable tax withholding. 

(c)    Compliance with Law. No Shares shall be issued pursuant to the exercise of an Option unless such issuance
and such exercise comply with all applicable law. Assuming such compliance, for income tax purposes the Shares shall be considered transferred to Recipient on the date on which the Option is exercised with respect to such Shares. 

3.    Termination of Service. 

(a)    Termination for Reasons Other Than Cause, Death, Disability. If the Recipient experiences a Termination of
Service for any reason other than Cause, death or Disability, the Recipient may exercise the vested portion of the Option, but only within such period of time ending on the earlier of: (a) the date three months following the Termination of
Service or (b) the Expiration Date. 
 (b)    Termination for Cause. If the Recipient experiences a
Termination of Service for Cause, the Option (whether vested or unvested) shall immediately terminate and cease to be exercisable. 

(c)    Termination due to Disability. If the Recipient experiences a Termination of Service as a result of the
Recipient’s Disability, the Recipient may exercise the vested portion of the Option, but only within such period of time ending on the earlier of: (a) the date 12 months following the Termination of Service or (b) the Expiration Date.

 (d)    Termination due to Death. If the Recipient experiences a Termination of Service as a result of the
Recipient’s death, the vested portion of the Option may be exercised by the Recipient’s estate, by a person who acquired the right to exercise the Option by bequest or inheritance or by the person designated to exercise the Option upon the
Recipient’s death, but only within the time period ending on the earlier of: (a) the date 12 months following the Termination of Service or (b) the Expiration Date. 

  
 -2- 

 4.    Lock-Up Period.
Recipient hereby agrees that Recipient shall not offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, lend, or otherwise transfer or
dispose of, directly or indirectly, any Common Stock (or other securities) of the Company or enter into any swap, hedging or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of any
Common Stock (or other securities) of the Company held by Recipient (other than those included in the registration) for a period specified by the representative of the underwriters of Common Stock (or other securities) of the Company not to exceed
one hundred and eighty (180) days following the effective date of any registration statement of the Company filed under the Securities Act (or such other period as may be requested by the Company or the underwriters to accommodate regulatory
restrictions on (i) the publication or other distribution of research reports and (ii) analyst recommendations and opinions, including, but not limited to, the restrictions contained in NASD Rule 2711(f)(4) or NYSE
Rule 472(f)(4), or any successor provisions or amendments thereto). 
 Recipient agrees to execute and deliver such other agreements as
may be reasonably requested by the Company or the underwriters that are consistent with the foregoing or necessary to give further effect thereto. In addition, if requested by the Company or the representative of the underwriters of Common Stock (or
other securities) of the Company, Recipient shall provide, within ten (10) days of such request, such information as may be required by the Company or such representative in connection with the completion of any public offering of the
Company’s securities pursuant to a registration statement filed under the Securities Act of 1933 (the “Securities Act”). The obligations described in this Section 4 shall not apply to a registration relating solely to
employee benefit plans on Form S-1 or Form S-8 or similar forms that may be promulgated in the future, or a registration relating solely to a Securities Exchange
Commission Rule 145 transaction on Form S-4 or similar forms that may be promulgated in the future. The Company may impose stop-transfer instructions with respect to the shares of Common Stock (or other
securities) subject to the foregoing restriction until the end of said one hundred and eighty (180) day (or other) period. Recipient agrees that any transferee of the Option or shares acquired pursuant to the Option shall be bound by this
Section 4. 
 5.    Method of Payment. Payment of the aggregate Exercise Price shall be by any of the
following, or a combination thereof, at the election of the Recipient: 
 (a)    in cash or by certified or bank check at
the time the Option is exercised; 
 (b)    surrender of other shares of Common Stock which (i) shall be valued at
its Fair Market Value on the date of exercise, and (ii) must be owned free and clear of any liens, claims, encumbrances or security interests, if accepting such shares, in the sole discretion of the Board of Directors, shall not result in any
adverse accounting consequences to the Company; 
 (c)    through a “cashless exercise program” established
with a broker; 
 (d)    by reduction in the number of shares otherwise deliverable upon exercise of such Option with a
Fair Market Value equal to the aggregate Exercise Price at the time of exercise; or 
 (e)    by any combination of the
foregoing methods. 
 6.    Restrictions on Exercise. This Option may not be exercised until such time as the
issuance of shares of Common Stock upon such exercise or the method of payment of consideration for such shares would not constitute a violation of any applicable law. 

7.    Non-Transferability of Option. This Option may not be transferred in
any manner otherwise than by will or by the laws of descent or distribution and may be exercised during the lifetime of Recipient only by Recipient. The terms of this Option Agreement shall be binding upon the executors, administrators, heirs,
successors and assigns of Recipient. 

  
 -3- 

 8.    Term of Option. This Option may be exercised only within
the term set out in the Notice, and may be exercised during such term only in accordance with the terms of this Option Agreement. 

9.    Tax Obligations. 

(a)    Tax Withholding. Recipient agrees to make appropriate arrangements with the Company (or the Parent or
Subsidiary employing or retaining Recipient) for the satisfaction of all Federal, state, local and foreign income and employment tax withholding requirements applicable to the Option exercise. Recipient acknowledges and agrees that the Company may
refuse to honor the exercise and refuse to deliver the Shares if such withholding amounts are not delivered at the time of exercise. The Recipient may satisfy any federal, state or local tax withholding obligation relating to the exercise of the
Option by any of the following means: 
 (i)    tendering a cash payment; 

(ii)    authorizing the Company to withhold shares of Common Stock from the shares of Common Stock otherwise issuable to
the Recipient as a result of the exercise of the Option; provided, however, that no shares of Common Stock are withheld with a value exceeding the maximum amount of tax required to be withheld by law; or 

(iii)    delivering to the Company previously owned and unencumbered shares of Common Stock. 

(b)    Notice of Disqualifying Disposition of ISO Shares. If the Option granted to Recipient herein is an ISO, and
if Recipient sells or otherwise disposes of any of the Shares acquired pursuant to the ISO on or before the later of (i) the date two (2) years after the Date of Grant, or (ii) the date one (1) year after the date of exercise,
Recipient shall immediately notify the Company in writing of such disposition. Recipient agrees that Recipient may be subject to income tax withholding by the Company on the compensation income recognized by Recipient. 

(c)    Code Section 409A. Notwithstanding any provision of this Option Agreement to the
contrary, this Option is intended to be exempt from Code Section 409A; provided, that the Company does not guarantee to Recipient any particular tax treatment of the Option. In no event whatsoever shall the Company be liable for any additional
tax, interest or penalties that may be imposed on Recipient by Code Section 409A or any damages for failing to comply with Code Section 409A. 

10.    Administration. 

(a)    Administration of the Option. The Option shall be administered by the Board of Directors. All decisions of
the Board of Directors with respect to the Plan shall be final, conclusive and binding upon all parties, including the Company, its shareholders, Participants and any Beneficiaries thereof, unless determined by a court having jurisdiction to be
arbitrary and capricious. 
 (b)    Delegation of Authority. To the extent permitted by applicable law, including
under Section 157(c) of the Delaware General Corporation Law, the Board of Directors may delegate to one or more officers of the Company some or all of its authority under the Option (except that such delegation shall not apply if the Recipient
is then covered by Section 16 of the Exchange Act), and the Board of Directors may delegate to one or more committees of the Board (which may consist of solely one Director) some or all of its authority under the Option, in accordance with
applicable law. 

  
 -4- 

 (c)    Authority of Board of Directors. Subject to the terms of
this Option Agreement and applicable law, the Board of Directors (or its delegate) shall have full discretion and authority to: 

(i)    waive any conditions or rights under, amend any terms of, or amend, alter, suspend, discontinue or terminate the
Option, prospectively or retroactively, without the consent of the Recipient; provided, however, that, subject to clause (vi) below and Section 11 below, no such action shall materially adversely affect the rights of the
Recipient, except to the extent any such action is made to cause the Option to comply with applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations; 

(ii) determine the duration and purpose of leaves of absences which may be granted to the Recipient without constituting termination of their
employment for purposes of the Option, which periods shall be no shorter than the periods generally applicable to employees under the Company’s employment policies; 

(iii)    make decisions with respect to the Option that may become necessary upon a change in corporate control or an
event that triggers anti-dilution adjustments; 
 (iv)    interpret, administer, correct any defect, supply any
omission and reconcile any inconsistency in the Option Agreement, or any instrument or agreement relating to the Option; 

(v)    determine, in its discretion, whether, and the extent to which, (i) the Option will vest during a leave of
absence, (ii) a reduction in service level (for example, from full-time to part-time employment) will cause a reduction, or other change, to the Option and (iii) a leave of absence or reduction in service will be deemed a Termination of
Service; 
 (vi)    in the event that the Board of Directors determines that, as a result of any dividend or other
distribution (other than an ordinary dividend or distribution), recapitalization, stock split, reverse stock split, reorganization, merger, consolidation, separation, rights offering, split-up, spin-off, combination, repurchase or exchange of the Common Stock or other securities of the Company, issuance of warrants or other rights to purchase Common Stock or other securities of the Company, issuance of
Common Stock pursuant to the anti-dilution provisions of securities of the Company, or other similar corporate transaction or event affecting the Common Stock, or of changes in applicable laws, regulations or accounting principles, an adjustment is
appropriate in order to prevent dilution or enlargement of the benefits or potential benefits intended to be made available under the Option, then the Board shall, subject to compliance with Section 409A of the Code and other applicable law,
adjust equitably so as to ensure no undue enrichment or harm (including by payment of cash), any or all of: the number and type of shares (or other securities) subject to the Option; or the grant, purchase, exercise or hurdle price with respect to
the Option or, if deemed appropriate, make provision for a cash payment to the Recipient with respect to the Option; and 

  
 -5- 

 (vii)    exercise discretion to make any other determination and take
any other action that the Board of Directors deems necessary or desirable for the administration of the Option and due compliance with applicable law, stock market or exchange rules and regulations or accounting or tax rules and regulations. 

11.    Treatment in a Change in Control. In the event of a Change in Control, the Board of Directors may, in its
sole discretion, and on such terms and conditions as it deems appropriate, take any one or more of the following actions with respect to the Option: continuation or assumption of such Option by the Company (if it is the surviving corporation) or by
the successor or surviving corporation or its parent; substitution or replacement of the Option by the successor or surviving corporation or its parent with cash, securities, rights or other property to be paid or issued, as the case may be, by the
successor or surviving corporation (or a parent or subsidiary thereof), with substantially the same terms and value as the Option (including any applicable performance targets or criteria with respect thereto); acceleration of the vesting of the
Option and the lapse of any restrictions thereon and, acceleration of the right to exercise the Option during a specified period (and the termination of the Option without payment of any consideration therefor to the extent not timely exercised), in
each case, either (A) immediately prior to or as of the date of the Change in Control or (B) upon the Recipient’s involuntary Termination of Service (including upon a termination of Recipient’s employment by the Company (or a
successor corporation or its parent) without “cause”, by Recipient for “good reason” and/or due to Recipient’s death or Disability) on or within a specified period following the Change in Control; and cancellation of the
Option in consideration of a payment, with the form, amount and timing of such payment determined by the Board of Directors in its sole discretion, subject to the following: (A) such payment shall be made in cash, securities, rights and/or
other property; (B) the amount of such payment shall equal the value of the Option, as determined by the Board of Directors in its sole discretion; provided that, if such value equals the Intrinsic Value of the Option, such value shall
be deemed to be valid; provided further that, if the Intrinsic Value of the Option is equal to or less than zero, the Board of Directors may, in its sole discretion, provide for the cancellation of the Option without payment of any
consideration therefor; and (C) such payment shall be made promptly following such Change in Control or on a specified date or dates following such Change in Control; provided that the timing of such payment shall comply with
Section 409A of the Code. 
 12.    Definitions. 

(a)    “Affiliate” means, with respect to a Person, any entity that, directly or indirectly through one or
more intermediaries, controls, is controlled by, or is under common control with, such Person (or, if no Person is specified, the Company). 

(b)    “Beneficial Owner” has the meaning assigned to such term in Rule
13d-3 and Rule 13d-5 under the Exchange Act, except that in calculating the beneficial ownership of any particular Person, such Person shall be deemed to have beneficial
ownership of all securities that such Person has the right to acquire by conversion or exercise of other securities, whether such right is currently exercisable or is exercisable only after the passage of time. The terms “Beneficial
Ownership,” “Beneficially Owns” and “Beneficially Owned” have a corresponding meaning. 

  
 -6- 

 (c)    “Change in Control” means the occurrence of any
one or more of the following events: 
 (i)    the acquisition by any Person of Beneficial Ownership, directly or
indirectly, of securities of the Company (not including in the securities beneficially owned by such Person any securities acquired directly from the Company or its Affiliates other than in connection with the acquisition by the Company or its
Affiliates of a business) representing 50% or more of the combined voting power of the then outstanding voting securities of the Company entitled to vote in the election of directors (the “Outstanding Company Voting Securities”); provided,
however that for purposes of this Plan any acquisition which complies with clauses (A), (B) and (C) of subsection (v) of this definition shall not constitute a Change of Control; 

(ii)    a majority of the members of the Board are replaced during any twelve-month period by directors whose appointment
or election is not endorsed by a majority of the Board before the date of appointment or election; 
 (iii)    the date
which is ten (10) business days prior to the consummation of a complete liquidation or dissolution of the Company; 

(iv)    the direct or indirect sale, transfer, conveyance or disposition (other than by way of merger or consolidation)
by the Company of all or substantially all of the Company’s assets in which any Person acquires (or has acquired during the 12-month period ending on the date of the most recent acquisition by such
Person) assets from the Company that have a total gross fair market value equal to more than 50% of the total gross fair market value of all of the assets of the Company immediately prior to such acquisition or acquisitions; or 

(v)    the consummation of a reorganization, merger, consolidation or similar form of corporate transaction involving the
Company that requires the approval of the Company’s shareholders, whether for such transaction or the issuance of securities in the transaction (a “Business Combination”), unless immediately following such Business Combination:
(A) more than 50% of the total voting power of (I) the entity resulting from such Business Combination (the “Surviving Company”), or (II) if applicable, the ultimate parent entity that directly or indirectly has beneficial
ownership of sufficient voting securities eligible to elect a majority of the members of the board of directors (or the analogous governing body) of the Surviving Company (the “Parent Company”), is represented by the Outstanding Company
Voting Securities that were outstanding immediately prior to such Business Combination (or, if applicable, is represented by shares into which the Outstanding Company Voting Securities were converted pursuant to such Business Combination), and such
voting power among the holders thereof is in substantially the same proportion as the voting power of the Outstanding Company Voting Securities among the holders thereof immediately prior to the Business Combination; (B) no Person (other than
any employee benefit plan sponsored or maintained by the Surviving Company or the Parent Company) is or becomes the Beneficial Owner, directly or indirectly, of 50% or more of the total voting power of the outstanding voting securities eligible to
elect members of the board of directors of the Parent Company (or the analogous governing body) (or, if there is no Parent Company, the Surviving Company); and (C) at least a majority of the members of the board of directors (or the analogous
governing body) of the Parent Company (or, if there is no Parent Company, the Surviving Company) following the consummation of the Business Combination were Board members at the time of the Board’s approval of the execution of the initial
agreement providing for such Business Combination. 
 In no event, however, shall a Change in Control be deemed to occur as a result of any acquisition
(w) by the Company, Huatai International Investment Holding Limited, or any of their respective Affiliates, (x) by any employee benefit plan sponsored or maintained by the Company or any 

  
 -7- 

 
subsidiary, (y) by any underwriter temporarily holding securities pursuant to an offering of such securities, or (z) by the Recipient or any group of persons including the Recipient (or
any entity controlled by the Recipient or any group of persons including the Recipient); 

(d)    “Disability” means that the Recipient is unable to engage in any substantial gainful activity by
reason of any medically determinable physical or mental impairment; provided, however, that for purposes of determining the term of the Option, if it is an Incentive Stock Option, the term Disability shall have the meaning ascribed to it under
Section 22(e)(3) of the Code. The determination of whether the Recipient has a Disability shall be determined under procedures established by the Board of Directors. Except in situations where the Board of Directors is determining Disability
for purposes of the term of an Incentive Stock Option within the meaning of Section 22(e)(3) of the Code, the Board of Directors may rely on any determination that the Recipient is disabled for purposes of benefits under any long-term
disability plan maintained by the Company or any affiliate in which the Recipient participates. 

(e)    “Exchange Act” means the Securities Exchange Act of 1934, as amended. 

(f)    “Intrinsic Value” means (i) the excess, if any, of the price or implied price per share of
Common Stock in a Change in Control or other event over (ii) the Exercise Price multiplied by (iii) the number of shares of Common Stock covered by such Award. 

(g)    “Person” has the meaning ascribed to such term in Section 3(a)(9) of the Exchange Act and
used in Sections 13(d) and 14(d) thereof, including a “group” as defined in Section 13(d) thereof. 

(h)    “Termination of Service” means the cessation of a Recipient’s performance of services as an
employee, director or consultant for the Company or any Subsidiary; provided, however, that in the case of a Recipient who is an employee, the transfer of employment from the Company to a Subsidiary, from a Subsidiary to the Company,
from one Subsidiary to another Subsidiary or, unless the Board of Directors determines otherwise, the cessation of employee status but the continuation of the performance of services for the Company or a Subsidiary as a director or consultant shall
not be deemed a cessation of service that would constitute a Termination of Service; provided, further, that a Termination of Service shall be deemed to occur for a Recipient employed by, or performing services for, a Subsidiary when
such Subsidiary ceases to be a Subsidiary unless such Recipient’s employment or service continues with the Company or another Subsidiary. 

13.    Entire Agreement; Governing Law. This Option Agreement constitutes the entire agreement of the parties with
respect to the subject matter hereof and supersedes in their entirety all prior undertakings and agreements of the Company and Recipient with respect to the subject matter hereof, and may not be modified adversely to the Recipient’s interest
except by means of a writing signed by the Company and Recipient. This Option Agreement is governed by the internal substantive laws but not the choice of law rules of California. 

14.    No Guarantee of Continued Service. RECIPIENT ACKNOWLEDGES AND AGREES THAT THE VESTING OF SHARES PURSUANT TO
THE VESTING SCHEDULE HEREOF IS EARNED ONLY BY CONTINUING AS A SERVICE PROVIDER AT THE WILL OF THE COMPANY (OR THE PARENT OR SUBSIDIARY EMPLOYING OR RETAINING PARTICIPANT) AND NOT THROUGH THE ACT OF BEING HIRED, BEING GRANTED THIS OPTION OR ACQUIRING
SHARES HEREUNDER. RECIPIENT FURTHER ACKNOWLEDGES AND AGREES THAT THIS AGREEMENT, THE TRANSACTIONS CONTEMPLATED HEREUNDER AND THE VESTING SCHEDULE SET FORTH HEREIN DO NOT CONSTITUTE AN EXPRESS OR IMPLIED PROMISE OF CONTINUED

  
 -8- 

 
ENGAGEMENT AS A SERVICE PROVIDER FOR THE VESTING PERIOD, FOR ANY PERIOD, OR AT ALL, AND SHALL NOT INTERFERE IN ANY WAY WITH THE RIGHT OF THE RECIPIENT OR THE COMPANY (OR THE PARENT OR SUBSIDIARY
EMPLOYING OR RETAINING RECIPIENT) TO TERMINATE RECIPIENT’S RELATIONSHIP AS A SERVICE PROVIDER AT ANY TIME, WITH OR WITHOUT CAUSE. 

Recipient hereby accepts the Option subject to all of the terms and provisions of this Option Agreement. Recipient has reviewed this Option
Agreement in its entirety, has had an opportunity to obtain the advice of counsel prior to executing this Option Agreement and fully understands all provisions of this Option Agreement. Recipient hereby agrees to accept as binding, conclusive and
final all decisions or interpretations of the Board of Directors upon any questions arising under this Option Agreement. Recipient further agrees to notify the Company upon any change in the residence address indicated below. 

 

					
	PARTICIPANT	 		  	ASSETMARK FINANCIAL HOLDINGS, INC.
			
	  
	 		  	  

	Signature	 		  	By
			
	  
	 		  	  

	Print Name	 		  	Print Name
			
	  
	 		  	  

		 		  	Title
			
	  
	 		  	
	Residence Address	 		  	
			
	  
	 		  	
	Email Address	 		  	

  
 -9- 

 EXHIBIT A 

ASSETMARK FINANCIAL HOLDINGS, INC. 

OPTION EXERCISE NOTICE 
 AssetMark
Financial Holdings, Inc. 
 1655 Grant Street, 10th Floor 

Concord, CA 94520 
 Attention: Corporate Secretary 

1.    Exercise of Option. Effective as of today,
                    ,         , the undersigned (“Recipient”) hereby elects to exercise
Recipient’s option (the “Option”) to purchase                  shares of the common stock, par value $0.001 per share (the
“Shares”) of AssetMark Financial Holdings, Inc. (the “Company”) under and pursuant to the Stock Option Award Notice and Agreement by and between the Company and the Recipient dated as of
                     (the “Option Agreement”). 

2.    Delivery of Payment. Recipient herewith delivers to the Company the full purchase price of the Shares, as set
forth in the Option Agreement, and any and all withholding taxes due in connection with the exercise of the Option. 

3.    Representations of Recipient. Recipient acknowledges that Recipient has received, read and understood the
Option Agreement and agrees to abide by and be bound by its terms and conditions. 
 4.    Rights as Stockholder.
Until the issuance of the Shares (as evidenced by the appropriate entry on the books of the Company or of a duly authorized transfer agent of the Company), no right to vote or receive dividends or any other rights as a stockholder shall exist with
respect to the Common Stock subject to an Award, notwithstanding the exercise of the Option. The Shares shall be issued to Recipient as soon as practicable after the Option is exercised in accordance with this Option Agreement. No adjustment shall
be made for a dividend or other right for which the record date is prior to the date of issuance except as provided in Section 13 of the Plan. 

5.    Tax Consultation. Recipient understands that Recipient may suffer adverse tax consequences as a result of
Recipient’s purchase or disposition of the Shares. Recipient represents that Recipient has consulted with any tax consultants Recipient deems advisable in connection with the purchase or disposition of the Shares and that Recipient is not
relying on the Company for any tax advice. 
 6.    Successors and Assigns. The Company may assign any of its
rights under this Exercise Notice to single or multiple assignees, and this Exercise Notice shall inure to the benefit of the successors and assigns of the Company. Subject to the restrictions on transfer herein set forth, this Exercise Notice shall
be binding upon Recipient and his or her heirs, executors, administrators, successors and assigns. 

7.    Interpretation. Any dispute regarding the interpretation of this Exercise Notice shall be submitted by
Recipient or by the Company forthwith to the Administrator, which shall review such dispute at its next regular meeting. The resolution of such a dispute by the Administrator shall be final and binding on all parties. 

8.    Governing Law; Severability. This Exercise Notice is governed by the internal substantive laws, but not the
choice of law rules, of California. In the event that any provision hereof becomes or is declared by a court of competent jurisdiction to be illegal, unenforceable or void, this Exercise Notice shall continue in full force and effect. 

 9.    Entire Agreement. The Option Agreement is incorporated
herein by reference. This Exercise Notice and the Option Agreement constitute the entire agreement of the parties with respect to the subject matter hereof and supersede in their entirety all prior undertakings and agreements of the Company and
Recipient with respect to the subject matter hereof, and may not be modified adversely to the Recipient’s interest except by means of a writing signed by the Company and Recipient. 

 

					
	Submitted by:	 		  	Accepted by:
			
	PARTICIPANT	 		  	ASSETMARK FINANCIAL HOLDINGS, INC.
			
	  
	 		  	  

	Signature	 		  	By
			
	  
	 		  	  

	Print Name	 		  	Print Name
			
		 		  	  

		 		  	Title
			
	Address:	 		  	Address:
			
	  
	 		  	  

			
	  
	 		  	  

			
		 		  	  

			
		 		  	Date Received

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