# EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC

EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser.

## Registration

- CRD: 140929
- Type: SEC-registered investment adviser
- SEC file number: 801-118400
- Location: 101 MONTGOMERY STREET, SUITE 1250, SAN FRANCISCO, CA, 94104
- Phone: 415-391-1200
- Latest filing: 2026-03-11
- Regulatory AUM: $169.8M
- Discretionary AUM: $167.9M
- Non-discretionary AUM: $1.8M
- Clients: 4
- Accounts: 383

## Business model

- Compensation: % of AUM, Hourly, Fixed, Commissions
- Clients served: Individuals, High net worth, Pensions, Charities

## Officers, owners & control persons (3)

| Name | Role | Location |
| --- | --- | --- |
| David Joshua Rockman | OWNER; PRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| MCKENNA JOHN FRANCIS | OWNER; OWNER, CHIEF INVESTMENT OFFICER, WEALTH ADVISOR; PRINCIPAL, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER AND WEALTH ADVISOR | — |
| ROCKMAN DAVID JOSHUA | OWNER; PRESIDENT AND CHIEF COMPLIANCE OFFICER; PRESIDENT, CHIEF COMPLIANCE OFFICER, WEALTH ADVISOR (+2 more) | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/140929/brochure
- Similar advisers: https://search.stillhousedata.com/firm/140929/similar
- Related entities: https://search.stillhousedata.com/firm/140929/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/140929

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.