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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2026-08-10 |
| TX | RA | APPROVED | 2026-08-10 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Arch Capital Services Inc. | New York | NY | 04/2011 | 06/2018 |
| Due Diligence | Riverside | CT | 07/2018 | 12/2023 |
| Kineo Capital Llc | New York | NY | 01/2022 | 12/2023 |
| Morgan Stanley | Purchase | NY | 01/2024 | 08/2026 |
| Rockefeller Financial Llc | Stamford | CT | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-11 |
| S65 | Uniform Investment Adviser Law Examination | 2021-12-04 |
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