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EMBARCADERO CAPITAL ADVISORS

LAGUNA HILLS, CA · CRD 329285 · IAPD ↗ · embarcaderocapitaladvisors.com · 949-371-9796

$40.0MRegulatory AUM
2Advisory reps
2Employees
0Clients
51-100Planning clients
0Private funds
6States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
September 2024 — EMBARCADERO CAPITAL ADVISORS (LAGUNA HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $40.0M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
June 2024 — EMBARCADERO CAPITAL ADVISORS now reports custody of client assets ($7.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
67
June 2024 — EMBARCADERO CAPITAL ADVISORS reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
February 2024 — EMBARCADERO CAPITAL ADVISORS (LAGUNA HILLS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.