DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E••••••••• F•••••••• G••••
Legal name E••••••••• F•••••••• I••••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 9, 2020 · 12 filings
SEC status approved since Apr 10, 2020
RAUM
$170M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
80%
$136M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$170M as of Mar 11, 2026
Mar 10, 2021$164M then
HNW client RAUM$92.5M as of Mar 11, 2026
Mar 10, 2021$79.0M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Mar 10, 20213 then
Employees (5.A)4 as of Mar 11, 2026
Mar 10, 20216 then
Private funds: no history
RAUM +6.2% over the last fiscal year-1.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $84.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $443,215derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.5M54%
- Individuals$43.2M25%
- Pension and profit-sharing plans$34.0M20%
- Individual clients
- 120reported
- HNW clients
- 39reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 383reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• F•••••• M•••••• to C••• P•••••• W••••• A•••••••• I•••Aug 7, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• F•••••• M•••••• from O• I••••••••• M••••••••• C•Sep 27, 2013 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• D••••• J••••• · Principal, President And Chief Compliance Officercontrolsince 06/2003 · owns less than 5%
- R••••••• D••••• J••••• · Ownercontrolsince 08/2019 · owns 75% or more of E••••••••• F•••••••• G•••• S• C•••••••••
Entity owners
- E••••••••• F•••••••• G•••• S• C••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San F••••••Co, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Salinas, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 196 to 383Mar 20, 2025 to Mar 11, 2026
- HNW clients · 44 to 39Mar 20, 2025 to Mar 11, 2026
- Individual clients · 146 to 120Mar 20, 2025 to Mar 11, 2026
- Pension plan clients · 6 to 7Mar 20, 2025 to Mar 11, 2026
- Insurance-licensed employees · 2 to 0Mar 20, 2025 to Mar 11, 2026
- Discretionary RAUM · $157M to $168MMar 20, 2025 to Mar 11, 2026
- HNW RAUM · $87.3M to $92.5MMar 20, 2025 to Mar 11, 2026
- Individual RAUM · $44.9M to $43.2MMar 20, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $2.6M to $1.8MMar 20, 2025 to Mar 11, 2026
- Pension RAUM · $27.7M to $34.0MMar 20, 2025 to Mar 11, 2026
- RAUM · $160M to $170MMar 20, 2025 to Mar 11, 2026
- Accounts · 203 to 196Mar 15, 2024 to Mar 20, 2025
- HNW clients · 38 to 44Mar 15, 2024 to Mar 20, 2025
- Individual clients · 158 to 146Mar 15, 2024 to Mar 20, 2025
- Pension plan clients · 7 to 6Mar 15, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 15, 2024 to Mar 20, 2025
- Discretionary RAUM · $148M to $157MMar 15, 2024 to Mar 20, 2025
- HNW RAUM · $60.7M to $87.3MMar 15, 2024 to Mar 20, 2025
- Individual RAUM · $65.2M to $44.9MMar 15, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $2.2M to $2.6MMar 15, 2024 to Mar 20, 2025
- Pension RAUM · $24.7M to $27.7MMar 15, 2024 to Mar 20, 2025
- RAUM · $151M to $160MMar 15, 2024 to Mar 20, 2025
- Accounts · 394 to 203Oct 17, 2023 to Mar 15, 2024
- Advisory employees · 3 to 2Oct 17, 2023 to Mar 15, 2024
- BD registered reps · 3 to 2Oct 17, 2023 to Mar 15, 2024
- HNW clients · 43 to 38Oct 17, 2023 to Mar 15, 2024
- Individual clients · 173 to 158Oct 17, 2023 to Mar 15, 2024
- Pension plan clients · 8 to 7Oct 17, 2023 to Mar 15, 2024
- Employees · 6 to 4Oct 17, 2023 to Mar 15, 2024
- Insurance-licensed employees · 3 to 2Oct 17, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 2Oct 17, 2023 to Mar 15, 2024
- Discretionary RAUM · $178M to $148MOct 17, 2023 to Mar 15, 2024
- HNW RAUM · $77.3M to $60.7MOct 17, 2023 to Mar 15, 2024
- Individual RAUM · $79.5M to $65.2MOct 17, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $2.0M to $2.2MOct 17, 2023 to Mar 15, 2024
- Pension RAUM · $22.8M to $24.7MOct 17, 2023 to Mar 15, 2024
- RAUM · $180M to $151MOct 17, 2023 to Mar 15, 2024
- Accounts · 361 to 394Mar 22, 2022 to Mar 17, 2023
- HNW clients · 41 to 43Mar 22, 2022 to Mar 17, 2023
- Individual clients · 165 to 173Mar 22, 2022 to Mar 17, 2023
Signals
3 dated events
- J••• F•••••• M•••••• left E••••••••• F•••••••• G•••• for C••• P•••••• W••••• A•••••••• I••• (registered 2023-08-18)Aug 7, 2023 · Advisor changed firm · fact
- Francis John Mckenna (Principal, Chief Compliance Officer, Chief Investment Officer And Wealth Advisor) no longer on Schedule A of E••••••••• F•••••••• G•••• (listed 2023-03-17, absent 2023-08-07)Aug 7, 2023 · Control person left · inference
- E••••••••• F•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@embarcaderofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- marjorie@embarcaderofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ashlie@embarcaderofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- hao@embarcaderofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jay@embarcaderofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-391-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-391-1248reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-794-6794reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/embarcadero-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-391-1200reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- embarcaderofinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $84.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026