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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2026-02-25 |
| FL | RA | APPROVED | 2021-01-25 |
| TX | RA | APPROVED_RES | 2021-01-21 |
Branch Locations
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
Linville, NC • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Aventura | FL | 06/2009 | 01/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2021 |
| Rockefeller Financial Llc | Boca Raton | FL | 01/2021 | Present |
| Rockefeller Capital Management | Boca Raton | FL | 11/2025 | 02/2026 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-30 |
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