David Rockman
David Rockman is a registered investment advisor at Embarcadero Financial Group, based in San Francisco, CA, with 32 years of industry experience. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 196 clients with $160M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.20% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $3.0M | 0.90% |
| $3.0M - $5.0M | 0.80% |
| $5M+ | 0.70% |
Under certain circumstances, based upon the nature of the Account and the services requested, EFIA in its sole discretion may modify or waive the minimum annual fee.
Fee Estimator
Location
Embarcadero Financial Group, 101 Montgomery Street, Suite 1250, San Francisco, CA, 94104
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is the president of Embarcadero Financial Group, an RIA, dedicating about 10-20% of his time to overseeing asset management portfolios and preparing financial plans. He is also the owner/primary broker for Embarcadero Financial Insurance Services, selling group health, dental, vision, LTD, and STD insurance, spending about 10-20% of his time on this activity.
Employment History
Current Registrations
Embarcadero Financial Group
On Investment Management CO
The O.N. Equity Sales CompanyBroker
Previous Registrations
New England SecuritiesBroker
Northwestern Mutual Investment Services, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
State Registrations32 states
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