Embree Financial Group
- Regulatory AUM
- $2.6B
- Discretionary
- $2.6B
- Clients
- 936
- Avg AUM / client
- $2.8M
- Accounts
- 2,378
- Employees
- 19
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 472 | $153M | 5.79% |
| High net worth individuals | 363 | $1.1B | 43.4% |
| Pension and profit sharing plans | 88 | $1.3B | 49.6% |
| Corporations and other businesses | 12 | $30.5M | 1.15% |
| Other | 1 | $507K | 0.02% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Moody Embree | Ceo | Jan 1995 (32y) | 75% or more | |
| James J Karabas | Chief Compliance Officer | CFP | Jan 2016 (11y) | Less than 5% |
| Matthew Lee Stadler | Registered representative | Feb 2004 (22y) | ||
| Jennifer Clifford | Registered representative | CFP | Mar 2016 (10y) | |
| Samantha Davidson | Registered representative | CFP | Jan 2017 (10y) | |
| William Ernster Embree | Registered representative | Jan 2018 (9y) | ||
| Michael David Peart | Registered representative | Jul 2018 (8y) | ||
| Andrew James Farinelli | Registered representative | Mar 2021 (5y) | ||
| Cooper Jeffrey Perry | Registered representative | Sep 2023 (3y) | ||
| Jared Milton Funk | Registered representative | Sep 2023 (3y) | ||
| Lara Michelle Dalton | Registered representative | CFP | Sep 2023 (3y) | |
| Nick T. Demopoulos | Registered representative | CFP | Jun 2024 (2y) | |
| Andrew Nigh | Registered representative | CFA | Sep 2024 (2y) | |
| Patrick Cortazzo | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (23)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Red Collar Pet Foods, Inc. Retirement Plan | Red Collar Pet Foods, Inc. | 0 | $0 | 01/01/2024 |
| Imperative Logistics Group Llc 401(k) Plan | Imperative Logistics Group Llc | 486 | $34.9M | 01/01/2024 |
| Medela Llc Employees Pension Plan | Medela Llc | 396 | $60.4M | 01/01/2024 |
| Sherwood Management Co., Inc. & Associated 401(k) Profit Sharing Plan | Sherwood Management Co., Inc. | 570 | $24.6M | 01/01/2024 |
| P10 401(k) Profit Sharing Plan | P10 Holdings, Inc. | 180 | $28.3M | 01/01/2024 |
| Crown Bakeries Retirement Plan | Crown Bakeries, Llc | 1,380 | $25.2M | 01/01/2024 |
| New Carbon Company, Llc 401(k) Retirement Plan | New Carbon Company, Llc | 263 | $8.6M | 01/01/2024 |
| Carnivore Meat Company Retirement Savings Plan | Carnivore Meat Company | 166 | $3.5M | 01/01/2024 |
| Mill Rock Packaging, Inc. Retirement Savings Plan | Mill Rock Packaging, Inc. | 620 | $60.8M | 01/01/2024 |
| Midland Container Corporation Cash Or Deferred Ps Plan | Midland Container Corporation | 122 | $10.0M | 01/01/2024 |
| Hh Global Us 401(k) Savings Plan | Hh Associates Us, Inc. | 1,051 | $102M | 01/01/2024 |
| Gprs, Llc 401(k) Plan | Ground Penetrating Radar Systems (Gprs), Llc | 0 | $0 | 01/01/2024 |
| Ceratizit Usa 401(k) Retirement Plan | Ceratizit Usa, Inc. | 84 | $16.4M | 01/01/2024 |
| Ofd Foods, Llc 401(k) Plan | Ofd Foods, Llc | 516 | $24.3M | 01/01/2024 |
| Harrison Street Real Estate Capital 401(k) Profit Sharing Plan | Harrison Street Real Estate Capital, Llc | 232 | $49.8M | 01/01/2024 |
| Acciona Energy North America 401(k) Plan | Acciona Energy Usa Global Llc | 291 | $29.4M | 01/01/2024 |
| Peryam & Kroll 401(k) Plan | Peryam & Kroll Research Corporation | 155 | $7.0M | 01/01/2024 |
| Biorigin Specialty Products 401(k) Plan | Complete Paper, Inc. Dba Biorigin Specialty Products | 232 | $33.5M | 01/01/2024 |
| Biorigin Specialty Products Union 401(k) Plan | Complete Paper, Inc. Dba Biorigin Specialty Products | 244 | $24.5M | 01/01/2024 |
| University Club Of Chicago 401(k) Savings Plan | University Club Of Chicago | 188 | $14.8M | 01/01/2024 |
| Triangle Tool, Llc 401(k) Plan | Triangle Tool, Llc | 129 | $15.0M | 01/01/2024 |
| Parker Plastics, Inc. 401(k) Profit Sharing Plan | Parker Plastics, Inc. | 274 | $17.5M | 01/01/2024 |
| Bradshaw Home Before Tax Savings Plan | Bradshaw International, Inc. | 394 | $33.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/13/2026 | 1.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: EMBREE FINANCIAL GROUP WAS REQUIRED TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF ITS FORM ADV AND TO BEGIN DELIVERING ITS FORM CRS TO PROSPECTIVE AND NEW RETAIL INVESTOR CLIENTS, AS APPLICABLE, BY JUNE 30, 2020. EMBREE FINANCIAL GROUP WAS FURTHER REQUIRED TO DELIVER ITS FORM CRS TO EXISTING RETAIL INVESTOR CLIENTS BY JULY 30, 2020. EMBREE FINANCIAL GROUP FAILED TO FILE AND DELIVER FORM CRS BY THESE DEADLINES. Status: Final Sanction Detail: MONETARY PENALTY OF $93,523 TO BE PAID WITHIN 10 BUSINESS DAYS OF JULY 26, 2021. Summary: ON JULY 26, 2021, THE SEC ENTERED AN ORDER FINDING THAT EMBREE FINANCIAL GROUP VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULES 204-1 AND 205-5 PROMULGATED UNDER THE SAME, REQUIRING FILING OF FORM CRS BY JUNE 30, 2020. EMBREE FINANCIAL GROUP WAS CENSURED, ISSUED A CEASE AND DESIST ORDER FROM FURTHER VIOLATING RULES 204-1 AND 205-5, AND ORDERED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $93,523.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $1.4B (54% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 13, 2026.
View current Form ADV (SEC/IAPD) ↗