SourcingSourcing

EMBREE FINANCIAL GROUP

C44
CRD 108233·SEC 801-63489·CHICAGO, IL
AUM
$2.64B
$1B+
Est. Revenue
$26.4M
@ 1% on AUM
Est. EBITDA
$7.9M
@ 30% margin
Est. Deal Value
$63.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EMBREE FINANCIAL GROUP
CRD
108233
SEC file #
801-63489
EIN
363983748
DBA names
—

Economics

AUM
$2.64B
AUM band
$1B+
AUM trajectory
'20'26
$1.00B → $2.64B▲ +164%
Client mix
Individuals Other472
Individuals High Net Worth363
Pension Profit Sharing Plans88
Corporations12
Other1

Operations

Employees (total)
19
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
7 advisors → 14 advisors▲ +100%
Primary office
CHICAGO IL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
02/13/2026
ADV-W filed at
—
Website
linkedin.com/company/embree-financial-group(social)

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
EMBREE, PAUL, MOODY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
EMBREE, PAUL, MOODY
Davidson, Samantha
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
26
Form 5500 Total Compensation
1,384,021
Form 5500 Compensation Trajectory 3y
20251,368,926
202615,095
Form 5500 Plan Count Trajectory 3y
202525
20261
Schedule C Total Compensation
1,384,021
Schedule C Service Provider Rows
26

SEC EDGAR

Edgar Cik
0002020860
Edgar Registered
Yes
Edgar Filing Count
12
Edgar First Filing Date
2024-04-30
Edgar Last Filing Date
2026-04-24
Edgar 13f Count
10
Edgar 13f Latest AUM Estimate
Filing Date2026-04-24
Accession0002085853-26-000476

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
14
Bc Firm IAR Count
14
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
440 N WELLS STREETSUITE 530CHICAGO, IL 60654
Business
440 N WELLS STREETSUITE 530CHICAGO, IL 60654
Edgar EIN
363983748
Edgar Recent Filings
13F-HR2026-04-24 · 0002085853-26-000476
13F-HR2026-01-14 · 0002085853-26-000033
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1714334
Trust Company Affiliate
No

People (14)

14
EMBREE, PAUL, MOODY
IAR · Direct Owner · 87.5%
1714334
Davidson, Samantha
IAR · Executive Officer · 2.5%
6753155
NICK T. DEMOPOULOS
IAR
1461593
Jennifer Clifford
IAR
6621120
MATTHEW LEE STADLER
IAR
1847690
ANDREW JAMES FARINELLI
IAR
6355958
MICHAEL DAVID PEART
IAR
6507793
JAMES J KARABAS
IAR
1296427
WILLIAM ERNSTER EMBREE
IAR
1623427
ANDREW NIGH
IAR
6078615
LARA MICHELLE DALTON
IAR
5496578
JARED MILTON FUNK
IAR
5800670
Cooper Jeffrey Perry
IAR
6667132
Patrick Cortazzo
IAR
6865265