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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-11-04 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
Houston, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 09/2015 | 11/2022 |
| Bank Of America, N.A. | Houston | TX | 09/2015 | 11/2022 |
| Rockefeller Financial Llc | Houston | TX | 11/2022 | 05/2024 |
| Rockefeller Financial Llc | Houston | TX | 05/2024 | Present |
UK Drinks LLC; Investment related; Houston, TX; Manager/Indirect Owner; 08/13/25; 0 hours per month; 0 hours during trading hours; LLC created to hold investment.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-22 |
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