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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 | 2023-03-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Financial Llc | New York | NY | 11/2022 | Present |
| Rockefeller Capital Management | Stamford | CT | 08/2021 | 10/2022 |
| Rockefeller Capital Management | New York | NY | 10/2022 | Present |
| Unemployed | Birmingham | AL | 11/2011 | 06/2020 |
| Nyu Langone | New York | NY | 06/2020 | 08/2020 |
| Unemployed | New York | NY | 08/2020 | 08/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-16 |
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