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Principal, President and Chief Compliance Officer · Embarcadero Financial Group

David J. Rockman

CRD 2346090 · Named on Form ADV at one SEC-registered adviser

At a glance

Embarcadero Financial Group, an SEC-registered wealth manager based in SAN Francisco, CA with $170 million in regulatory assets, lists David J. Rockman on its Form ADV as Principal, President and Chief Compliance Officer, a control person.

Firms and roles

  • Embarcadero Financial GroupPrincipal, President and Chief Compliance OfficerWealth manager · SAN Francisco, CA · $170M in regulatory assets

AtlasMembers

David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.