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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-01-10 |
| WY | RA | APPROVED | 2024-02-21 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
30 S. King Street, Suite 2C, Jackson, WY 83001 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rmb Capital Management Llc | Chicago | IL | 09/2010 | 01/2019 |
| First Republic Investment Management, Inc | Jackson | WY | 01/2019 | 01/2024 |
| First Republic Securities Company, Llc | Jackson | WY | 03/2021 | 01/2024 |
| J.P. Morgan Securities Llc | Jackson | WY | 09/2023 | 01/2024 |
| Rockefeller Financial Llc | Jackson | WY | 01/2024 | Present |
(1) Name: Jackalope Properties LLC, Wilson WY; Real estate holding company; Managing partner; Start 1997; Hours devoted 0. (2) Name: St. John's Hospital Foundation, Jackson WY; Investment-related: No; Nature of business: 501c3 Foundation to raise funds for hospital; Role: primary role is to support the hospital efforts in building/sustaining/securing funding; Description of duties: Board responsibilities include identifying donor prospects & educating the community regarding the hospital & new living center; Start date: 9/15/1996; Number of hours each month: 10; Number of hours during trading: 0. (3) Teton Literacy; Jackson, WY; not investment-related; 501c3 Foundation supporting a 100% literate community ion Jackson WY. As finance chair I oversee the committee that makes recommendations about investing the learning centers excess cash; start 7/1/2015; 10 hrs per month; 0 hrs during trading. (4) Animal Adoption Center; Jackson, WY; not investment-related; a 501(c)3 animal rescue dedicated to saving the lives of homeless animals. I sit on the board as an advisor providing input as to budget and employee compensation; start 12/1/2017; 10 hrs per month; 0 hrs during trading. (5) Tower 3 Pro; Wilson, WY; not investment-related; Registered rep for the Wyoming LLC that handles Wyoming credit card processing for local merchants; start 2/1/2011; 0.5 hr per month; 0 hrs during trading. (6) Cloud Veil LLC, Wilson, WY. Investment related. Land Holding. Managing Partner, 06/06/2020. 2 hours per month and 0 hours during trading hours. (7) Alpenglow Events LLC. Advisor to family run events business in Tetonia, Idaho. 1 hr per month: 0 hours during trading hours devoted to LLC.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-12-20 |
| S65 | Uniform Investment Adviser Law Examination | 2016-02-21 |
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