Best Investors Account Sign in

Henry David Smith

Rockefeller Financial LLC

Dallas, TX

CRD 7266283

Claim This Profile
Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-05
  • TX RA
    APPROVED
    Since 2025-12-05

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Dallas TX 06/2020 08/2020
Sellside Group, Llc Dallas TX 09/2022 12/2022
Ubs Financial Services Inc Dallas TX 04/2023 12/2025
University Of Colorado Boulder Boulder CO 08/2018 05/2022
Post College Extended Travel In Europe Milan 05/2022 08/2022
Highland Park High School Dallas TX 08/2014 05/2018
Unemployed Dallas TX 01/2023 03/2023
Rockefeller Financial Llc Dallas TX 12/2025 Present
  • 06/2020 → 08/2020
    Ubs
    Dallas, TX
  • 09/2022 → 12/2022
    Sellside Group, Llc
    Dallas, TX
  • 04/2023 → 12/2025
    Ubs Financial Services Inc
    Dallas, TX
  • 08/2018 → 05/2022
    University Of Colorado Boulder
    Boulder, CO
  • 05/2022 → 08/2022
    Post College Extended Travel In Europe
    Milan
  • 08/2014 → 05/2018
    Highland Park High School
    Dallas, TX
  • 01/2023 → 03/2023
    Unemployed
    Dallas, TX
  • 12/2025 → Present
    Rockefeller Financial Llc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-25
  • S66 Uniform Combined State Law Examination
    2023-02-25

View on SEC IAPD

Nearby Firms

RETIREMENT ADVISORS, LLC
7TH HARVEST INVESTMENTS
ADVISOR RESOURCE COUNCIL

Nearby Investors

MICHAEL CHARLES PERRY
Samuel James Perry
Michael Charles Perry

Nearby Offices

RETIREMENT ADVISORS, LLC · DALLAS, TX
7TH HARVEST INVESTMENTS · DALLAS, TX
ADVISOR RESOURCE COUNCIL · Dallas, TX

More in Dallas, TX

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor