Embarcadero Financial Investment Advisory, LLC
● SEC registered since 2020CRD 140929SEC# 801-118400San Francisco, CA
Reg. AUM
$169.8M
Employees
4
Accounts
383
Location
San Francisco, CA
Embarcadero Financial Investment Advisory, LLC assets under management
Embarcadero Financial Investment Advisory, LLC is an investment advisory firm registered with the SEC based in San Francisco, CA. The firm has been registered since 2020. It reports $169.8 million in regulatory assets under management and employs 4 people.
Embarcadero Financial Investment Advisory, LLC owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Joshua Rockman Control | Principal, President And Chief Compliance Officer | Under 5% | 2003 |
| Embarcadero Financial Group S Corporation Control | Owner | Over 75% | 2020 |
| David Joshua Rockman Control | Owner | Over 75% | 2019 |
Frequently asked questions
How much does Embarcadero Financial Investment Advisory, LLC manage?
Embarcadero Financial Investment Advisory, LLC reports $169.8 million in regulatory assets under management on its Form ADV.
How many employees does Embarcadero Financial Investment Advisory, LLC have?
Embarcadero Financial Investment Advisory, LLC reports 4 employees.
Where is Embarcadero Financial Investment Advisory, LLC located?
Embarcadero Financial Investment Advisory, LLC is based in San Francisco, CA and has been SEC-registered since 2020.
Does Embarcadero Financial Investment Advisory, LLC disclose fund performance?
Embarcadero Financial Investment Advisory, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 101 Montgomery Street, Suite 1250, San Francisco, CA 94104 |
| Phone | 415-391-1200 |
| Fax | 415-391-1248 |
| Office hours | 8:30 a.m. - 5:00 p.m. |
| SEC region | San Francisco Regional Office (SFRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$169.8M▲ 6%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 80%
Larger than 20% of 16,271 advisers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$169.8Mregulatory AUM
Discretionary $167.9MNon-discretionary $1.8M