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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-04-18 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-04-18 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
800 Newport Center Drive, Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Beacon Pointe Advisors | Newport Beach | CA | 06/2012 | 09/2016 |
| Adviceperiod, Llc | Irvine | CA | 09/2016 | 05/2019 |
| Rsm Us Wealth Management Llc | Irvine | CA | 05/2019 | 02/2022 |
| Choreo, Llc | Irvine | CA | 02/2022 | 08/2022 |
| First Bank Wealth Management | Newport Beach | CA | 08/2022 | 04/2025 |
| Infinex Investments, Inc. | Newport Beach | CA | 09/2022 | 04/2025 |
| Rockefeller Financial Llc | Newport Beach | CA | 04/2025 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-10-20 |
| S65 | Uniform Investment Adviser Law Examination | 2010-07-01 |
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