CRD: 140929
Embarcadero Financial Group
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- Custodian
- Assetmark · Fidelity/NFS · Pershing
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 03-12-2007
- Office Locations
- 2
Office Locations
About Embarcadero Financial Group
Embarcadero Financial Group provides holistic financial planning, investment advisory, and risk management for corporate executives, entrepreneurs, business owners, and individuals, and advises businesses on selecting and implementing corporate and employee benefits. Based in San Francisco, the firm builds portfolios using public funds and ETFs and works with custodians such as Fidelity/NFS.
Reported data analysis
What the numbers show
Between March 20, 2025 and March 11, 2026, reported AUM increased 6.2%, from $159.9M to $169.8M.
Across 5 reported observations, AUM decreased 18.1% between March 22, 2022 and March 11, 2026, from $207.2M to $169.8M.
Of the latest reported AUM, 98.9% is discretionary and 1.1% is non-discretionary.
The firm reports 2 advisory representatives and 166 clients, or 83 clients per representative. That equates to $1.0M in reported AUM per client.
The profile lists 2 reported office locations and 19 years in operation. The source data was last updated on March 11, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Client Personas
- Industry Interests
- Investment Themes
- Investment Vehicles
- Platform
- Services
- Technology
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Owner & Executives
DAVID JOSHUA ROCKMAN
Chief Compliance Officer, President, PRINCIPAL
- CRD
- #2346090
- Ownership
- Less than 5%
Showing 1 of 1 owners & executives
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FRED FRANCISCO SPRINZ
President
- CRD
- #843931
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Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $167,924,436 | $440,747 |
| Non-Discretionary | $1,826,852 | $913,426 |
| Total | $169,751,288 | $443,215 |
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Separately Managed Accounts
SMA allocation detail is available
Embarcadero Financial Group has reported separately managed account data across 7 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.