Alexandra Lebenthal

ROCKEFELLER FINANCIAL LLC

New York, NY 10022

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CRD#: 1638099

Professional summary

Alexandra Lebenthal, who also goes by Alexandra Diamond Mrs, Alex Lebenthal, Alexandra Nmn Lebenthal, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.

Alexandra is registered as a RR (Registered Representative) and started their career in finance in 1987. Alexandra has worked at 9 firms and has passed the Series 63, Series 65, Series 52TO, Series 79TO, SIE, Series 7, Series 9, Series 10, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alexandra Diamond Mrs | Alex Lebenthal | Alexandra Nmn Lebenthal

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexandra Lebenthal's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 14, 2023 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 437 Madison Avenue - Suite 2701, New York, NY 10022

RIA

CRD#: 291361

New York, NY

Past

September 22, 2020 - November 10, 2023

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

March 20, 2019 - November 7, 2019

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

April 12, 2013 - December 31, 2016

LEBENTHAL ASSET MANAGEMENT, LLC

RIA

CRD#: 146332

NEW YORK, NY

Past

February 5, 2008 - September 21, 2017

LEBENTHAL & CO., LLC

CRD#: 145750

New York, NY

Past

October 4, 2006 - March 4, 2008

IDB CAPITAL CORP.

CRD#: 106032

NEW YORK, NY

Past

June 7, 2002 - December 20, 2005

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

June 17, 1988 - June 7, 2002

LEBENTHAL & CO., INC.

CRD#: 6490

NEW YORK, NY

Past

April 29, 1987 - June 28, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC

CRD#: 291361 / SEC#: 801-114033, 8-70054

RIA

Registered Investment Advisory firm - SEC (9/21/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/8/2024)

Alaska
(2/6/2024)

Arizona
(2/8/2024)

Arkansas
(2/2/2024)

California
(1/22/2024)

Colorado
(3/14/2024)

Connecticut
(12/15/2023)

Delaware
(1/31/2024)

District of Columbia
(1/22/2024)

Florida
(12/26/2023)

Georgia
(1/22/2024)

Hawaii
(1/24/2024)

Idaho
(12/19/2023)

Illinois
(1/29/2024)

Indiana
(1/23/2024)

Iowa
(1/22/2024)

Kansas
(1/22/2024)

Kentucky
(1/23/2024)

Louisiana
(1/29/2024)

Maine
(1/23/2024)

Maryland
(12/15/2023)

Massachusetts
(3/18/2024)

Michigan
(1/23/2024)

Minnesota
(1/23/2024)

Mississippi
(1/22/2024)

Missouri
(3/20/2024)

Montana
(1/22/2024)

Nebraska
(1/19/2024)

Nevada
(1/23/2024)

New Hampshire
(1/23/2024)

New Jersey
(1/22/2024)

New Mexico
(1/22/2024)

New York
(1/21/2024)

North Carolina
(1/23/2024)

North Dakota
(1/23/2024)

Ohio
(1/22/2024)

Oklahoma
(1/23/2024)

Oregon
(4/8/2024)

Pennsylvania
(1/26/2024)

Puerto Rico
(4/15/2024)

Rhode Island
(1/22/2024)

South Carolina
(1/22/2024)

South Dakota
(1/22/2024)

Tennessee
(1/23/2024)

Texas
(1/22/2024)

Utah
(1/22/2024)

Vermont
(1/22/2024)

Virgin Islands
(1/25/2024)

Virginia
(1/23/2024)

Washington
(1/22/2024)

West Virginia
(1/30/2024)

Wisconsin
(1/22/2024)

Wyoming
(1/29/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 1/19/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/6/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/1/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/3/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 53

Date: 9/12/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC

CRD#: 291361 / SEC#: 801-114033, 8-70054

RIA

Registered Investment Advisory firm - SEC (9/21/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

45 Rockefeller Plaza Floor 5, New York, NY 10111

Mailing Address

45 Rockefeller Plaza Floor 5, New York, NY 10111

Phone number

(212) 549-5100

Established

Delaware since 10/20/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

824

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (12.24.25) (12/26/2025)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (12.24.25) (12/24/2025)

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	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant 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
09/27/2023	Cover Page	Report

Red Flags

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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Firm Stability Insights

Alexandra Lebenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexandra Lebenthal's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

TIGRESS FINANCIAL PARTNERS, LLC

LEBENTHAL ASSET MANAGEMENT, LLC

LEBENTHAL & CO., LLC

IDB CAPITAL CORP.

ADVEST, INC.

LEBENTHAL & CO., INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/19/2024

Series 65

Date: 7/6/2000

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 9/21/2017

Series 7

Date: 4/25/1987

Series 9

Date: 8/1/2003

Series 10

Date: 4/3/2002

Series 53

Date: 9/12/1995

Series 24

Date: 3/20/1995

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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