CRD: 140929
Embarcadero Financial Group
$169.8M Total AUM
$167.9M Disc. AUM
-- 3Y CAGR
4 Employees
166 ADV. Clients
19 yrs Firm Age
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Request a Free TrialFirm Details
- Custodian
- Assetmark · Fidelity/NFS · Pershing
- Clients
- Retail and Institutional
- Platforms
- Matrix alphaPioneer vector
- Established Date
- 03-12-2007
- Office Locations
- 2
Office Locations
101 Montgomery Street Suite 1250 SAN Francisco CA
21 West Alisal Suite 101 Salinas CA
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.
Team overview
-- AVG AGE
$84.9M AVG AUM / ADVISOR
$1.0M AVG AUM / CLIENT
14.3 yrs AVG TENURE
4 Employees
2 Advisory Reps
2 RIA Reps
19yrs Firm Age
Insights
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Asset Classes
Summit signal Zenith Vertex
Client Personas
Frontier Legacy
Custodian
Frontier capital
Investment Themes
Horizon Frontier Ember
Investment Vehicles
Catalyst
Platform
Zenith fusion
Services
Value Signal Fusion signal Wave insight Summit Vital capital Bridge Meridian ember Matrix zenith Catalyst Foundation matrix
Technology
Optima peak Radial
Owner & Executives
DAVID JOSHUA ROCKMAN
Chief Compliance Officer, President, PRINCIPAL
- CRD
- #2346090
- Ownership
- Less than 5%
(304) 545-7944
radial.harbor@horizoncapital.com
in linkedin.com/in/momentum-matrix
Showing 1 of 1 owners & executives
Unlock allContacts
FRED FRANCISCO SPRINZ
President
- CRD
- #843931
(765) 800-2417
meridian.eagle@peakcapital.com
in linkedin.com/in/summit-beacon
Showing 1 of 2 contacts
Unlock allAssets Under Management
Total AUM
Discretionary
Non-Discretionary
| 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
Total SMA Asset: $169,751,288
Public Funds:
9.3% Equity - Exchange:
10.3% Cash:
8.6% Corporate - Investment Grade:
22.5% Equity - OTC:
18.0% U.S. Government/Agency:
10.8% Municipal Bonds:
20.5% | Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | $284,276,939 | 9.3% |
| Equity - Exchange | $314,844,352 | 10.3% |
| Cash | $262,879,750 | 8.6% |
| Corporate - Investment Grade | $687,766,788 | 22.5% |
| Equity - OTC | $550,213,430 | 18.0% |
| U.S. Government/Agency | $330,128,058 | 10.8% |
| Municipal Bonds | $626,631,962 | 20.5% |
| Total | $3,056,741,279 | 100.0% |