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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED | 2023-09-15 |
Branch Locations
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-31 |
| TX | RA | APPROVED | 2022-05-27 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Cupertino | CA | 12/2007 | 05/2022 |
| Bank Of America, N.A. | San Jose | CA | 05/2011 | 05/2022 |
| Rockefeller Financial Llc | Campbell | CA | 05/2022 | Present |
I*73141 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: R2M II INVESTMENTS LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: PHILADELPHIA, PENNSYLVANIA 19130 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/25/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A SINGLE USE LLC. IT WAS CREATED BY MY BROTHER AS AN INVESTMENT VEHICLE FOR MY FATHER TO INVEST IN AN EARLY STAGE COMPANY CALLED TRAVELNUTZ. MY BROTHER AND I ARE THE MANAGERS OF THE LLC. I*10263 For profit or not for profit: Name of outside business organization: Investment Property Investment related: Address of business: Campbell, California 95008 Nature of business: , Position, title, association: , Start date of relationship: 11/9/2020 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: The Bindlestick Fund LLC, 139 Spartina Way South, Kensington, RI 02879. Investment related. The LLC was set up to invest in a private company called pHLIP Inc. I'm a passive member/investor of the LLC. Start date 10/01/2018. Zero hours spent during trading hours and zero hours per month spent on the LLC. I have no duties with the LLC, just a passive member/investor. Skunkworks, a division of Heller House Expeditions LLC, PO Box 171305, Salt Lake City, UT 84117. Investment related. The LLC was set up to invest in a private company called Boom Technology Inc. I'm a passive investor. Start date 01/29/2021. Zero hours spent during trading hours and zero hours per month spent on the LLC. I have no duties with this entity, just a passive investor.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-04-24 |
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