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Rockefeller Financial LLC CRD 291361
$99.6B regulatory AUM 223 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| FL | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2023-03-27 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Boynton Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management, Inc. | San Francisco | CA | 03/2016 | 04/2017 |
| First Republic Securities Company, Llc | San Francisco | CA | 03/2016 | 04/2017 |
| First Republic Securities Company, Llc | San Francisco | CA | 04/2017 | 03/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 04/2017 | 03/2023 |
| Rockefeller Financial Llc | San Francisco | CA | 03/2023 | 12/2023 |
| Rockefeller Financial Llc | Boynton Beach | FL | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-02 |
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