David Bishop Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 12/2025
  Ubs Financial Services Inc.
  Dallas, TX
• 12/2025 → Present
  Rockefeller Financial Llc
  Dallas, TX

Previous Registrations

• 2015-11-13 → 2025-12-23
  Ubs Financial Services Inc.
  Dallas, TX
• 2008-08-21 → 2015-12-09
  Credit Suisse Securities (Usa) Llc
  Dallas, TX
• 2005-08-05 → 2008-09-05
  Lehman Brothers Inc.
  Dallas, TX
  Dallas, TX
• 1998-09-24 → 2005-08-09
  Morgan Stanley Dw Inc.
  Dallas, TX

Other Businesses

smith fresh water flies / 3628 shenandoah dallas,tx 75205 / Other/ Agriculture & Livestock / farming / Officer / / small farming goats and fish / Start Date 2/1/12 llc with one owner /

Exams

• S66 Uniform Combined State Law Examination
  2008-03-22
• S63 Uniform Securities Agent State Law Examination
  1990-02-15