Embarcadero Financial Investment Advisory, Llc
- Regulatory AUM
- $170M
- Discretionary
- $168M
- Clients
- 166
- Avg AUM / client
- $1.0M
- Accounts
- 383
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 120 | $43.2M | 25.5% |
| High net worth individuals | 39 | $92.5M | 54.5% |
| Pension and profit sharing plans | 7 | $34.0M | 20.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Slanted Door Retirement Plan The Slanted Door | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Joshua Rockman | Owner | Jun 2003 (23y) | ≈ 56.25% – 100% via Embarcadero Financial Group S Corporation | |
| Fred Francisco Sprinz | Registered representative | CFP | Mar 2017 (9y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Embarcadero Financial Group S Corporation | Owner | Jan 2020 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Joshua Rockman: 75% – 100% of Embarcadero Financial Group S Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
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 (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Slanted Door Retirement Plan | The Slanted Door | 88 | $3.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 898 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Pershing $170M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 11, 2026.
View current Form ADV (SEC/IAPD) ↗