DS
David B. Smith
ROCKEFELLER FINANCIAL LLC | MANAGING DIRECTOR
Dallas, TX 75201
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CRD#: 2033396
DS
Professional summary
David Bishop Smith is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. David has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
What are your service offerings?
Financial planning
Trading individual securities
Trust & estate planning
What is your current number of clients?
Under 50
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Bishop Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Bishop Smith's 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®
NoneEducation
Marketing, Economics
1985 - 1990
Experience
Current
December 5, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Current
December 5, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
November 13, 2015 - December 23, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DALLAS, TX
Past
November 13, 2015 - December 23, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DALLAS, TX
Past
August 21, 2008 - December 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
DALLAS, TX
Past
August 21, 2008 - December 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
DALLAS, TX
Past
August 5, 2005 - September 5, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
DALLAS, TX
Past
August 5, 2005 - September 5, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
DALLAS, TX
Past
September 24, 1998 - August 9, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
September 24, 1998 - August 9, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 16, 1994 - October 9, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 31, 1993 - August 24, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 22, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 20, 1990 - September 21, 1990
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
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".
RF
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)BD
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.RR
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
RR
Alabama(1/2/2026)
RR
Arizona(12/5/2025)
RR
California(12/5/2025)
RR
Colorado(12/5/2025)
RR
Delaware(12/9/2025)
RR
District of Columbia(12/5/2025)
RR
Florida(12/5/2025)
RR
Georgia(12/5/2025)
RR
Illinois(12/9/2025)
RR
Kansas(12/5/2025)
RR
Kentucky(12/5/2025)
RR
Louisiana(12/5/2025)
RR
Massachusetts(12/5/2025)
RR
Minnesota(1/2/2026)
RR
Mississippi(12/5/2025)
RR
Missouri(12/5/2025)
RR
Nevada(12/5/2025)
RR
New Hampshire(12/5/2025)
RR
New Jersey(12/5/2025)
RR
New Mexico(12/5/2025)
RR
New York(12/5/2025)
RR
North Carolina(1/21/2026)
RR
Ohio(1/7/2026)
RR
Oklahoma(12/11/2025)
RR
Oregon(12/5/2025)
RR
South Carolina(12/10/2025)
RR
Tennessee(12/5/2025)
RR
Texas(12/5/2025)
IAR
Texas(12/5/2025)
RR
Utah(12/8/2025)
RR
Virginia(12/5/2025)
RR
Wyoming(12/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
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)BD
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)
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 | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
MANAGING DIRECTORCRD#: 291361Dallas, TX 75201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
