# Embarcadero Capital Advisors, Inc.

> Embarcadero Capital Advisors, Inc. is a state-registered investment advisory firm in Laguna Hills, CA, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 28, 2026.

- CRD: 329285
- Filed as: EMBARCADERO CAPITAL ADVISORS, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Laguna Hills, CA
- Filing period: October 2026
- Form ADV filing dated: August 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/329285
- AdvisorCensus page: https://advisorcensus.com/firm/embarcadero-capital-advisors-inc-laguna-hills-ca-329285

## Quick answers

**How is Embarcadero Capital Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Embarcadero Capital Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Embarcadero Capital Advisors, Inc. located?**
Embarcadero Capital Advisors, Inc.'s principal office is in Laguna Hills, CA, according to its Form ADV.

**Is Embarcadero Capital Advisors, Inc. registered with the SEC or a state?**
Embarcadero Capital Advisors, Inc. is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 329285.

**How much does Embarcadero Capital Advisors, Inc. manage?**
Embarcadero Capital Advisors, Inc. reports $60,000,000 in regulatory assets under management in its Form ADV filing dated August 28, 2026 (100% discretionary).

**What types of clients does Embarcadero Capital Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (225); high net worth individuals (25).

**Does Embarcadero Capital Advisors, Inc. report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.G (pending regulatory proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/329285

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $60,000,000
- Discretionary: $60,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 225 | $50,000,000 |
| High net worth individuals | 25 | $10,000,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2024 (2 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, NV, TX
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/329285

### Websites listed on Form ADV (Item 1.I)
- embarcaderocapitaladvisors.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Embarcadero Capital Advisors, Inc. (CRD 329285): Form ADV filing data as of October 2026.