Richard A. West

ROCKEFELLER FINANCIAL LLC

Wenham, MA

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CRD#: 1789569

Professional summary

Richard Angus West, who also goes by Angus West, R Angus West, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Wenham, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Angus West | R Angus West

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.

07/2017 West Family Wealth Advisors; President; Wenham, MA; investment related; single family office for immediate West family members, providing trust, estate and investment advisory service to family; Serve as founder, sole officer and employee of sole proprietorship; Approx. 20-60 hours per month (part-time).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Angus West'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

August 17, 2023 - Present

ROCKEFELLER FINANCIAL LLC

RIA

CRD#: 291361

Wenham, MA

Past

February 7, 2020 - December 31, 2022

SPEARHEAD CAPITAL ADVISORS, LLC

RIA

CRD#: 161131

Beverly, MA

Past

January 1, 1999 - December 6, 2000

WINSLOW, EVANS & CROCKER, INC.

CRD#: 29686

BOSTON, MA

Past

January 19, 1988 - December 10, 1996

PARKER & WEST MANAGEMENT, INC.

CRD#: 6748

BOSTON, MA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(8/17/2023)

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

IAR

Series 65

Date: 12/5/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/1988

General Securities Principal Examination

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 ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

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

Richard A. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Angus West's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPEARHEAD CAPITAL ADVISORS, LLC

WINSLOW, EVANS & CROCKER, INC.

PARKER & WEST MANAGEMENT, INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2019

Series 63

Date: 4/11/1988

Series 7

Date: 1/16/1988

Series 24

Date: 7/29/1988

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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