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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2026-06-17 |
| CA | RA | APPROVED | 2025-03-17 |
| TX | RA | APPROVED | 2025-03-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
320 Seven Springs Way Suite 115, Brentwood, TN 37027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Behavior Analysts | Walnut Creek | CA | 10/2010 | 12/2021 |
| Rockefeller Financial Llc | Vacaville | CA | 03/2025 | 06/2026 |
| Calpers | Sacramento | CA | 02/2016 | 05/2022 |
| Verus Investments | Seattle | WA | 06/2022 | 03/2025 |
| Rockefeller Financial Llc | Nashville | TN | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-04-30 |
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