SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Embarcadero Financial Group
San Francisco, CA
Embarcadero Financial Investment Advisory, LLC, CRD 140929
Firm filing updated March 11, 2026 ·
- $169.8MAssets
- 166Clients
- 2Advisory staff
- 383Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- CommissionsYes
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals120
- High net worth individuals39
- Pension and profit sharing plans7
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 120 | $43.2 million |
| High net worth individuals | 39 | $92.5 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 7 | $34.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$169.8 million
- Accounts383
- Discretionary$167.9 million · 381 accounts
- Non-discretionary$1.8 million · 2 accounts
People
- Employees4
- Advisory staff2
- Broker-dealer reps2
- Licensed insurance agents2
- Planning clients51 to 100
Registration details
- Legal name: Embarcadero Financial Investment Advisory, LLC SEC-registered investment advisor. CRD 140929, SEC file 801-118400.
- Registered with the SEC as an investment advisor (status date on record: April 10, 2020).
Is Embarcadero Financial Group a fiduciary?
Short answer: Embarcadero Financial Group is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
2 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.