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Investment Adviser Firm Summary

ROCKEFELLER FINANCIAL LLC (CRD# 291361 / SEC# 8-70054, 801-114033)
Alternate Names: ROCKEFELLER FINANCIAL LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/21/2018

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 10/12/2018
Alaska 10/12/2018
Arizona 10/12/2018
Arkansas 10/12/2018
California 10/12/2018
Colorado 10/12/2018
Connecticut 10/12/2018
Delaware 10/12/2018
District of Columbia 10/12/2018
Florida 10/12/2018
Georgia 10/12/2018
Hawaii 10/12/2018
Idaho 10/12/2018
Illinois 10/12/2018
Indiana 10/12/2018
Iowa 10/12/2018
Kansas 10/12/2018
Kentucky 10/12/2018
Louisiana 10/12/2018
Maine 10/12/2018
Maryland 10/12/2018
Massachusetts 10/12/2018
Michigan 10/12/2018
Minnesota 10/12/2018
Mississippi 10/12/2018
Missouri 10/12/2018
Montana 10/12/2018
Nebraska 10/12/2018
Nevada 10/12/2018
New Hampshire 10/12/2018
New Jersey 10/12/2018
New Mexico 10/12/2018
New York 09/21/2018
North Carolina 10/12/2018
North Dakota 10/12/2018
Ohio 10/12/2018
Oklahoma 10/12/2018
Oregon 10/12/2018
Pennsylvania 10/12/2018
Puerto Rico 10/12/2018
Rhode Island 10/12/2018
South Carolina 10/12/2018
South Dakota 10/12/2018
Tennessee 10/12/2018
Texas 10/12/2018
Utah 10/12/2018
Vermont 10/12/2018
Virgin Islands 10/12/2018
Virginia 10/12/2018
Washington 10/12/2018
West Virginia 10/12/2018
Wisconsin 10/12/2018
Wyoming 10/12/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser