EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC
Legal name: EMBARCADERO FINANCIAL GROUP
CRD #140929 SEC #801-118400 SAN FRANCISCO, CA 415-391-1200
SEC Registered
Total AUM
$159.9M
Discretionary
$157.2M
Employees
4
Clients
51
Accounts
196
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 20, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ROCKMAN, DAVID, JOSHUA | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRESIDENT, CHIEF COMPLIANCE OFFICER, WEALTH ADVISOR | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL AND PRESIDENT | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL AND PRESIDENT | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKMAN, DAVID, JOSHUA | I | PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| EMBARCADERO FINANCIAL GROUP S CORPORATION | DE | OWNER | E | Control |
| MCKENNA, JOHN, FRANCIS | I | OWNER | B | Control |
| MCKENNA, JOHN, FRANCIS | I | OWNER | B | Control |
| MCKENNA, JOHN, FRANCIS | I | OWNER | B | Control |
| MCKENNA, JOHN, FRANCIS | I | OWNER, CHIEF INVESTMENT OFFICER, WEALTH ADVISOR | B | Control |
| MCKENNA, JOHN, FRANCIS | I | OWNER | B | Control |
| MCKENNA, JOHN, FRANCIS | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER AND WEALTH ADVISOR | B | Control |
| MCKENNA, JOHN, FRANCIS | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER AND WEALTH ADVISOR | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
| ROCKMAN, DAVID, JOSHUA | I | EMBARCADERO FINANCIAL GROUP S CORPORATION | E | Control |
Registrations
Federal
IA
Mar 20, 2025 REGISTERED
Notice Filings (1)
CA
Address
101 MONTGOMERY STREETSUITE 1250
SAN FRANCISCO, CA 94104
United States
Phone: 415-391-1200