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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 | 2026-04-09 |
| NY | RA | APPROVED | 2021-02-14 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-12 |
| NY | RA | APPROVED | 2023-10-11 |
Branch Locations
45 Rockefeller Plaza, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Glenmede Trust Company | Philadelphia | PA | 01/2008 | 02/2019 |
| Glenmede Investment Management | Philadelphia | PA | 10/2010 | 02/2019 |
| Rockefeller Financial Llc | New York | NY | 01/2021 | Present |
| Rockefeller Capital Management | New York | NY | 03/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-10 |
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