EMBREE FINANCIAL GROUP of CHICAGO, IL is an SEC-registered investment adviser (CRD 108233). Regulatory assets under management: $2.6B.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Samantha Davidson | CHIEF COMPLIANCE OFFICER | Boston, MA |
| Paul Moody Embree | CEO | — |
| EMBREE PAUL MOODY | CEO; CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| KARABAS JAMES J | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-26 | regulatory | 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… | Final | $94K |