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.

Former SEC-registered adviser

Embarcadero Capital Advisors

Former SEC-registered adviserLaguna Hills, CaliforniaCRD 329285SEC 801-129306IAPD
Latest filing Jul 24, 2024
First filing on the tape Dec 6, 2023 · 13 filings
RAUM
$40.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$40.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$40.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$40.0M as of Jul 24, 2024
Dec 6, 2023$0 then
HNW client RAUM$25.0M as of Jul 24, 2024
May 8, 2024$25.0M then
State-registered IARs (5.B.3)2 as of Jul 24, 2024
Dec 6, 20232 then
Employees (5.A)2 as of Jul 24, 2024
Dec 6, 20233 then
Private funds: no history
Practice profile
derived from the filing of Jul 24, 2024; every figure names its basis
RAUM per advisor
$40.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
117derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$245,098derivedHNW RAUM over HNW clients
Average account
$341,880derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$40.0MreportedItem 5.I
Custody
$7.0M, 8 clientsreportedItem 9.A
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
  • 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$25.0M63%
  • Individuals$15.0M38%
Individual clients
15reported
HNW clients
102reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
117reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$7.0M for 8 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Geoffrey Erik FellowsLaguna Hills, CaJan 10, 202412 y4
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
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Terrill Parker Austin · President & Chief Executive Officercontrol
      since 01/2024 · owns 75% or more
    • Erik Geoffrey Fellows · Chief Compliance Officer, Chief Operating Officer, And Chief Financial Officercontrol
      since 01/2024 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • BD registered reps · 0 to 2
      Jun 6, 2024 to Jun 27, 2024
    • Employees · 3 to 2
      May 8, 2024 to Jun 6, 2024
    • Accounts · 0 to 117
      Feb 14, 2024 to May 8, 2024
    • HNW clients · unset to 102.0
      Feb 14, 2024 to May 8, 2024
    • Individual clients · unset to 15.0
      Feb 14, 2024 to May 8, 2024
    • Assets in custody · unset to 7000000.0
      Feb 14, 2024 to May 8, 2024
    • Custody of client assets · false to true
      Feb 14, 2024 to May 8, 2024
    • Financial planning clients · 0 to 51-100
      Feb 14, 2024 to May 8, 2024
    • Discretionary RAUM · $0 to $40.0M
      Feb 14, 2024 to May 8, 2024
    • HNW RAUM · unset to 25000000.0
      Feb 14, 2024 to May 8, 2024
    • Individual RAUM · unset to 15000000.0
      Feb 14, 2024 to May 8, 2024
    • RAUM · $0 to $40.0M
      Feb 14, 2024 to May 8, 2024
    • BD registered reps · 1 to 0
      Jan 9, 2024 to Feb 5, 2024
    • BD registered reps · 0 to 1
      Jan 2, 2024 to Jan 2, 2024
    Signals
    1 dated events
    • Embarcadero Capital Advisors filed its initial SEC registration (Form ADV)
      Dec 6, 2023 · 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
    Website
    EMBARCADEROCAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 17, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $40.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026