Daniel Wade Spainhour

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 08/2009 → 10/2023
  Janney Montgomery Scott Llc
  Washington, DC
• 10/2023 → 08/2024
  Rockefeller Financial Llc
  Mount Airy, NC
• 08/2024 → Present
  Rockefeller Financial Llc
  Charlotte, NC

Previous Registrations

• 2009-09-16 → 2023-10-09
  Janney Montgomery Scott Llc
  Mount Airy, NC
  Washington, DC
  Mount Airy, NC
• 2009-06-01 → 2009-09-16
  Morgan Stanley
  Washington, DC
• 2006-02-21 → 2009-06-01
  Citigroup Global Markets Inc.
  Washington, DC
  New York, NY
  Washington, DC
• 2003-07-16 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Washington, DC

Exams

• S66 Uniform Combined State Law Examination
  2003-06-30

Other Names

• Daniel W Spainhour