Larry Lee Rothenberg
Professional Summary
Larry Lee Rothenberg is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in New York, New York. Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Larry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 10, Series 9...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Financial Planning
- Retirement Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
Contact Information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Phone Number
(212) 549-5100Established
Delaware since 10/20/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,005SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | — |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
Regulatory Assets Under Management
Total Number of Accounts
95,368AUM (Assets Under Management)
$99,603,487,232Disclosures
Regulatory Event
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | Cover Page | Report |
| 08/26/2024 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1994SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Larry Lee Rothenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Lee Rothenberg's CRS (Customer Relationship Summary).
Services Offered by Larry
- Estate & Legacy Planning
- Financial Planning
- Retirement Planning
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