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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ayco Company, L.P./Mercer Allied | New York | NY | 06/2014 | 10/2018 |
| The Ayco Company, L.P./Goldman Sachs | New York | NY | 10/2018 | 03/2020 |
| Rockefeller Financial Llc | Greenwich | CT | 03/2020 | Present |
| Rock And Co Llc | Greenwich | CT | 03/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-18 |
| S66 | Uniform Combined State Law Examination | 2015-01-29 |
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