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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 |
|---|---|---|---|
| UT | RA | APPROVED | 2025-10-29 |
| TX | RA | APPROVED | 2025-10-20 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2025-10-29 |
| TX | RA | APPROVED | 2025-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 04/2017 |
| Morgan Stanley Smith Barney Llc | Park City | UT | 04/2017 | 10/2025 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2017 | 10/2025 |
| Rockefeller Financial Llc | Park City | UT | 10/2025 | Present |
| Rockefeller Capital Management | Park City | UT | 10/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2017 | Present |
Deer Crest Association; Park City, UT; HOA; Member of design review committee; 01/01/2023; 1 hour per month; 0 hours during trading hours; Homeowners associations review board
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-24 |
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