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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-06-06 |
| NY | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2023-04-19 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-06-06 |
| NY | RA | APPROVED | 2024-02-21 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eaton Vance Management | Boston | MA | 06/2016 | 06/2017 |
| Eaton Vance Distributors, Inc. | Boston | MA | 06/2016 | 06/2017 |
| Natixis Global Asset Management | Boston | MA | 06/2017 | 07/2019 |
| First Republic Investment Management, Inc | New York | NY | 07/2019 | 04/2023 |
| First Republic Securities Conpany, Llc | New York | NY | 07/2019 | 04/2023 |
| Rockefeller Financial Llc | Ny | NY | 04/2023 | 05/2025 |
| Rockefeller Capital Management | New York | NY | 02/2024 | 05/2025 |
| Rockefeller Financial Llc | Charlotte | NC | 06/2025 | Present |
| Rockefeller Capital Management | Charlotte | NC | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-08 |
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