Embree Financial Group (Chicago)

Name: Embree Financial Group
Address: 440 N Wells St, Chicago, IL, 60654
Telephone: 312-527-5565

Embree Financial Group is a large advisory firm based in Chicago. It manages $1 billion of regulatory assets for 423 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Illinois.

Embree Financial Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and publication of newsletters. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Embree Financial Group: assets under management

The assets under management (AUM) of Embree Financial Group is $1 billion. The firm's AUM has grown by 186% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $352.31 million in discretionary accounts and $648.83 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.05 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $7.46 million.

Investments

The firm invests in exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 15% of the firm’s portfolio. Investments in government bonds form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Embree Financial Group for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Embree Financial Group serves?

The only and largest group of clients of Embree Financial Group is high net worth individuals with 336 clients and $352.31 million of assets under management. Among the 5 most similar advisory firms, Embree Financial Group has the 2nd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $352.31 million for 336 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Embree Financial Group doesn't advise any private funds.

Careers at Embree Financial Group

The company employs 11 people that are either part- or full-time employees. 64 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Paul Moody Embree	Chief compliance officer	1 Jan 1995	75% - 100%	1714334
James J Karabas	Chief compliance officer	1 Jan 2016	Other	1296427

Based in Chicago

The principal office where Embree Financial Group performs its advisory services is located at 440 N Wells St, Chicago, IL 60654, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-527-5565 or by fax 312-527-5591. The normal business hours are 8:00am-6:00pm on Monday - Friday. You can find more information about the New York firm at embreefinancialgroup.com.