Larry Lee Rothenberg

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1996 → 01/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York City, NY
• 01/2017 → 04/2017
  First Republic Securities Company, Llc
  New York, NY
• 04/2017 → 04/2023
  First Republic Securities Company, Llc
  New York, NY
• 04/2017 → 04/2023
  First Republic Investment Management, Inc.
  New York, NY
• 04/2023 → Present
  Rockefeller Financial Llc
  Ny, NY

Previous Registrations

• 2017-01-20 → 2023-05-16
  J.P. Morgan Private Wealth Advisors Llc
  New York, NY
• 1996-05-20 → 2017-01-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY

Other Businesses

(1) Name: Golda Och Academy; Address: West Orange, NJ; Investment-related: No; Nature of business: Non-profit private independent school; Role: Board member; Description of duties: Board of Governors for approx. 3 years, member of the investment committee; Start date: 9/1/2014; Number of hours each month: 3; Number of hours during trading: zero. (2) Name: Daughters of Israel; Address: West Orange, NJ; Investment-related: No; Nature of business: Non-profit nursing home; Role: Board member; Description of duties: Board of Governors for approx. 15 years, co-chair of the investment committee; Start date: 1/1/2002; Number of hours each month: 6; Number of hours during trading: 1 3) Name: Development Corp for Israel/Israel Bonds Address: 30 W Mt. Pleasant Ave Investment-related: Yes Nature of the business: The organization underwrites bonds for the State of Israel. Role: Co-Campaign Chairperson/National Campaign Council Start Date: 09/01/2012 Description of duties: I will help in overall strategy for the annual campaign. Number of hours each month: 2 Number of hours during trading: 0 4) Development Corporation for Israel; Investment related; 30 W Mt. Pleasant Way, Livingston, NJ 07039; Board Member; 2/26/2025; 3 hours a month and 0 hours during trading hours. Campaign chair for the metro-west NJ region.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-13
• S63 Uniform Securities Agent State Law Examination
  1983-08-04