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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 | 2024-03-22 |
| TX | RA | APPROVED | 2024-03-22 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-22 |
| TX | RA | APPROVED | 2024-03-22 |
Branch Locations
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management, Inc | Walnut Creek | CA | 08/2016 | 03/2024 |
| First Republic Securities Company, Llc | Walnut Creek | CA | 05/2022 | 03/2024 |
| J.P. Morgan Securities Llc | Walnut Creek | CA | 09/2023 | 03/2024 |
| Rockefeller Financial Llc | Walnut Creek | CA | 03/2024 | Present |
| Rockefeller Capital Management | Walnut Creek | CA | 03/2024 | Present |
| Rockefeller Financial Llc | Santa Paula | CA | 05/2025 | 09/2025 |
| Rockefeller Capital Management | Santa Paula | CA | 05/2025 | 09/2025 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-05-01 |
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