EMBARCADERO CAPITAL ADVISORS

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
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	0	$0
Non-Discretionary	0	$0
Total	0	$0

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
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	0	$0
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	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed feesPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	0

Portfolio Manager to Program	Sponsor
EMBARCADERO CAPITAL ADVISORS, INC. WRAP FEE PROGRAM	EMBARCADERO CAPITAL ADVISORS

Identifiers

SEC RIA File Number	801-129306
SEC ERA File Number	801-129306
SEC CIK Numbers	None
SEC CRD Numbers	329285
Legal Entity Identifier	None

Principal Office

23151 VERDUGO DRIVE
SUITE 106
LAGUNA HILLS
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic