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Daniel Jay Hardwick

Rockefeller Financial LLC

Chicago, IL

Saratoga Springs, NY

CRD 7496247

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Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-05-29
TX RA APPROVED 2025-05-29
  • NY RA
    APPROVED
    Since 2025-05-29
  • TX RA
    APPROVED
    Since 2025-05-29

Branch Locations

222 West Adams Suite 2450, Chicago, IL 60606 • United States

321 Broadway, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rockefeller Financial Llc Hamilton Township NJ 01/2022 03/2025
Township Of Parsippany-Troy Hill Parsippany NJ 12/2018 01/2022
Sobel & Co., Llc Livingston NJ 08/2016 12/2018
Rockefeller Financial Llc Saratoga Springs NY 04/2025 Present
Rockefeller Capital Management Saratoga Springs NY 04/2025 Present
  • 01/2022 → 03/2025
    Rockefeller Financial Llc
    Hamilton Township, NJ
  • 12/2018 → 01/2022
    Township Of Parsippany-Troy Hill
    Parsippany, NJ
  • 08/2016 → 12/2018
    Sobel & Co., Llc
    Livingston, NJ
  • 04/2025 → Present
    Rockefeller Financial Llc
    Saratoga Springs, NY
  • 04/2025 → Present
    Rockefeller Capital Management
    Saratoga Springs, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-27
  • S66 Uniform Combined State Law Examination
    2025-05-27
Other Names
  • Dan Hardwick

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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