David Joshua Rockman

Employer firm

On Investment Management Co CRD 105662

$3.15B regulatory AUM 308 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SEI, ASSETMARK, BRINKER CAPITAL, BNY MELLON ADVISORS, INC, SYMMETRY PARTNERS, ENVESTNET

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2002 → Present
  The O.N. Equity Sales Company
  San Franciso, CA
• 06/2003 → Present
  Embarcadero Financial Group
  San Francisco, CA
• 08/2002 → Present
  Ohio National Financial Services
  Cincinnati, OH
• 07/2003 → Present
  The On Investment Management Company
  Cincinnati, OH

Other Businesses

1)EMBARCADERO FINANCIAL GROUP; INVESTMENT RELATED; 101 Montgomery Street, Suite 1250 SAN FRANCISCO CA 94104; RIA; PRESIDENT; 2007 TO PRESENT; 20 HOURS PER MONTH; 10 HOURS PER MONTH DURING TRADING HOURS; OVERSEE ASSET UNDER MANAGEMENT PROTFOLIOS PREPARE PLANS AND RECOMMENDATIONS RELATED TO PERSONAL AND BUSINESS PLANNING FOR FEE. 2)EMBARCADERO FINANCIAL INSURANCE SERVICES (DBA); NOT INVESTMENT RELATED; 101 Montgomery Street, Suite 1250 SAN FRANCISCO CA 94104; INSURANCE SALES; OWNER/PRIMARY BROKER; 01/01/2008 TO PRESENT; 15-20 HOURS PER MONTH; 2-5 HOURS PER MONTH DURING TRADING; I ACT AS THE PRIMARY BROKER FOR THE SALEAND SERVICE OF THE FOLLOWING PRODUCTS GROUP BENEFIT SALES TO NCLUDE GROUP HEALTH DENTAL VISION LTD AND STD. 3)COURT & AQUATIC SPORTS LTD; NOT INVESTMENT RELATED; 5400 CAMDEA AVE SAN JOSE CA 95124; ATHLETIC CLUB; ADVISORY BOARD MEMBER; 2006 TO PRESENT; TAKE PART IN AN ANNUAL SOMETIMES BI-ANNUAL MEETING REACHED MAXIMUM SPACE

Exams

• S66 Uniform Combined State Law Examination
  2003-06-18
• S63 Uniform Securities Agent State Law Examination
  1993-07-02