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Grace Upshaw

Rockefeller Financial LLC

Dallas, TX

CRD 6953879

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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 2026-02-09
  • TX RA
    APPROVED
    Since 2026-02-09

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
Neuberger Berman Dallas TX 03/2022 02/2026
Fidelity Investments Westlake TX 07/2020 03/2022
Fidelity Investments Westlake TX 05/2019 07/2019
Merrill Lynch Nashville TN 05/2018 07/2018
Tcu Fort Worth TX 08/2016 05/2020
Tcu Fort Worth TX 08/2016 05/2020
Rockefeller Financial Llc Dallas TX 02/2026 Present
  • 03/2022 → 02/2026
    Neuberger Berman
    Dallas, TX
  • 07/2020 → 03/2022
    Fidelity Investments
    Westlake, TX
  • 05/2019 → 07/2019
    Fidelity Investments
    Westlake, TX
  • 05/2018 → 07/2018
    Merrill Lynch
    Nashville, TN
  • 08/2016 → 05/2020
    Tcu
    Fort Worth, TX
  • 08/2016 → 05/2020
    Tcu
    Fort Worth, TX
  • 02/2026 → Present
    Rockefeller Financial Llc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-02
  • S66 Uniform Combined State Law Examination
    2022-08-02

View on SEC IAPD

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