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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_RES | 2025-09-26 |
| CA | RA | APPROVED | 2022-08-15 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Beverly Hills | CA | 03/2015 | 09/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 02/2017 | 08/2022 |
| Unemployed | Los Angeles | CA | 09/2016 | 02/2017 |
| Bank Of America, N.A. | El Segundo | CA | 02/2021 | 08/2022 |
| Rockefeller Financial Llc | Los Angeles | CA | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-26 |
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