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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-28 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company Llc | San Francisco | CA | 03/2016 | 04/2017 |
| First Republic Investment Management, Inc. | San Francisco | CA | 03/2016 | 04/2017 |
| First Republic Securities Company, Llc | Walnut Creek | CA | 04/2017 | 03/2023 |
| First Republic Investment Management, Inc. | Walnut Creek | CA | 04/2017 | 03/2023 |
| Rockefeller Financial Llc | Walnut Creek | CA | 03/2023 | Present |
Name: High Marks LLC Address: Orinda, CA Investment-related: No Nature of the business: Real Estate Role: Owner Start Date: 12/01/2003 Description of duties: Interact with the property management company, approving repairs and projects Number of hours each month: 1 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-24 |
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