EMBARCADERO FINANCIAL GROUP
EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC Legal Name
Adviser information for EMBARCADERO FINANCIAL GROUP last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 200 | $148.3M |
| Non-Discretionary | 3 | $2.2M |
| Total | 203 | $150.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 158 | $65.2M |
| HNW Individuals | 38 | $60.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 7 | $24.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118400 |
|---|---|
| SEC ERA File Number | 801-118400 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140929 |
| Legal Entity Identifier | None |
Principal Office
101 MONTGOMERY STREETSUITE 1250
SAN FRANCISCO
CA
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 415-391-1200, Fax: 415-391-1248
Chief Compliance Officer
DAVID J. ROCKMAN
PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER, WEALTH ADVISOR
101 MONTGOMERY STREET
SUITE 1250
SAN FRANCISCO
CA
United States
Tel:
415-391-1200
Fax:
415-391-1248
D****@***********************M
(Full email address available in API data)
Regulatory Contact
AMY HUEY
COMPLIANCE ADMINISTRATOR
101 MONTGOMERY STREET
SUITE 1250
SAN FRANCISCO
CA
United States
Tel:
415-391-1200
Fax:
415-391-1248
A**@***********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROCKMAN, DAVID, JOSHUA | Individual | EMBARCADERO FINANCIAL GROUP S CORPORATION | OWNER | 08/2019 | > 75% |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | Domestic Entity | – | OWNER | 01/2020 | > 75% |
| ROCKMAN, DAVID, JOSHUA | Individual | – | PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2003 | < 5% |