Andrew David Horowitz

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

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

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

Current Employers

Employment History

• 11/2011 → 03/2017
  Morgan Stanley Smith Barney
  Valencia, CA
• 01/2015 → 03/2017
  Morgan Stanley Private Bank, National Association
  New York, NY
• 03/2017 → 03/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
• 04/2017 → 03/2020
  Bank Of America, N.A.
  Century City, CA
• 03/2020 → Present
  Rockefeller Financial Llc
  Los Angeles, CA
• 03/2020 → Present
  Rockefeller Capital Management
  Los Angeles, CA

Previous Registrations

• 2017-03-24 → 2020-03-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 2011-12-21 → 2017-03-27
  Morgan Stanley
  Valencia, CA
• 2001-06-13 → 2011-11-29
  The Estate Management Group, Inc.
  Valencia, CA
• 1997-11-18 → 2011-11-25
  Lpl Financial Llc
  Valencia, CA

Other Businesses

I*104218 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DMH LIMITED INVESTMENT RELATED: N ADDRESS OF BUSINESS: VAN NUYS, CALIFORNIA 91401 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 12/15/2000 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A PASSIVE PARTNERSHIP WITH MY TWO BROTHER AND FATHER I*104217 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOROWITZ ENTERPRISES, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: STEVENSON RANCH, CALIFORNIA 91381 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12/23/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A LONG TERM DONATION TO THE NEW WEST SYMPHONY. IT IS A LIMITED PARTNERSHIP WITH MY FAMILY BEING THE GENERAL PARTNER AND NEW WEST SYMPHONY BEING A LIMITED MEMBER. I*104223 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOROWITZ LEGACY INVESTMENT RELATED: N ADDRESS OF BUSINESS: STEVENSON RANCH, CALIFORNIA 91381 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 11/12/2014 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: THIS IS A LONG TERM DONATION TO THE UNIVERSITY OF SOUTHERN CALIFORNIA. IT IS A LIMITED PARTNERSHIP WITH MY FAMILY BEING THE GENERAL PARTNER AND USC BEING A LIMITED MEMBER. ADH & Company Inc., 24820 Orchard Village, Suite 245, Santa Clarita, CA 91355; Family Investment company to invest in passive investments; President and CEO; 09/21/21; two hours per month; Company to be used for investments.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-03-18

Other Names

• Andrew David Horowitz
• Andrew Horowitz