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EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC

A68
CRD 140929·SEC 801-118400·SAN FRANCISCO, CA
AUM
$169.8M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$509K
@ 30% margin
Est. Deal Value
$4.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC
CRD
140929
SEC file #
801-118400
EIN
—
DBA names
Embarcadero Financial Group

Economics

AUM
$169.8M
AUM band
$100M-$500M
AUM trajectory
'21'26
$126.8M → $169.8M▲ +34%
Client mix
Individuals Other120
Individuals High Net Worth39
Pension Profit Sharing Plans7

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
3 advisors → 2 advisors▼ -33%
Primary office
SAN FRANCISCO CA
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
embarcaderofinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
EMBARCADERO FINANCIAL GROUP S
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
EMBARCADERO FINANCIAL GROUP S
ROCKMAN, DAVID, JOSHUA
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
EMBARCADEROFINANCIAL.COM
Rdap Domain Creation Date
2003-07-07T17:40:14Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Pershing4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-07-07T17:40:14Z
Rdap Domain Last Changed
2023-05-08T06:41:03Z
Rdap Nameservers
Ns11.worldnic.comNs12.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (2)

2
ROCKMAN, DAVID, JOSHUA
IAR · Executive Officer · 2.5%
2346090
FRED FRANCISCO SPRINZ
IAR
843931