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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 |
|---|---|---|---|
| ME | RA | APPROVED | 2026-06-30 |
| MA | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-06-09 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
115 Federal St, Floor 23, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company, Llc | Boston | MA | 05/2023 | 05/2023 |
| First Republic Investment Management, Inc. | Boston | MA | 02/2023 | 05/2023 |
| Brown Brothers Harriman | Boston | MA | 02/2012 | 02/2023 |
| Rockefeller Financial Llc | Boston | MA | 05/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-09 |
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