Richard D Thome

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

• 10/2010 → 09/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Atlanta, GA
• 05/2011 → 09/2025
  Bank Of America, N.A.
  Atlanta, GA
• 09/2025 → Present
  Rockefeller Financial Llc
  Brentwood, TN

Previous Registrations

• 2010-11-24 → 2025-09-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fairhope, AL
  Mobile, AL
  Atlanta, GA
  Franklin, TN
• 2009-10-19 → 2010-10-15
  Morgan Stanley
  Mobile, AL

Exams

• S66 Uniform Combined State Law Examination
  2009-10-16

Other Names

• Richard Dean Thome Jr
• Rick D Thome
• Richard Dean Thome