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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 | 2025-01-26 |
| CA | RA | APPROVED | 2023-04-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
845 Page Mill Road, Floor 2, Palo Alto, CA 94304 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller & Co Llc | Mountain View | CA | 11/2019 | 12/2025 |
| Rockefeller Financial Llc | Mountain View | CA | 04/2022 | 12/2025 |
| Financial Clarity | Mountain View | CA | 10/2018 | 10/2019 |
| Franklin Templeton | San Mateo | CA | 04/2018 | 09/2018 |
| Aurum Capital Management | San Jose | CA | 07/2008 | 12/2017 |
| Unemployed | Campbell | CA | 01/2018 | 03/2018 |
| Rockefeller Financial Llc | Campbell | CA | 12/2025 | 04/2026 |
| Rockefeller Capital Management | Campbell | CA | 12/2025 | 04/2026 |
| Rockefeller Capital Management | Palo Alto | CA | 04/2026 | Present |
| Rockefeller Financial Llc | Palo Alto | CA | 04/2026 | Present |
real estate rental business
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-14 |
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