Robert A. Hon

ROCKEFELLER CAPITAL MANAGEMENT

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2194902

Professional summary

Robert Andrew Hon, who also goes by Rob Hon, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Chicago, Illinois and ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Hon

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.

HON & HON LLC; INV RELATED; WILMETTE, IL; 85% OWNERSHIP; START 3/5/2020; 0 HOURS PER MONTH, 0 DURING TRADING, PARTNER.;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Andrew Hon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Andrew Hon'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

November 7, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 294197

Chicago, IL

Current

November 7, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 291361

Chicago, IL

Current

November 7, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 291361

Chicago, IL

Past

January 7, 2016 - November 12, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHICAGO, IL

Past

January 7, 2016 - November 12, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHICAGO, IL

Past

November 22, 2006 - February 2, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

November 22, 2006 - February 2, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

October 5, 1999 - December 13, 2006

GREAT LAKES ADVISORS, LLC

RIA

CRD#: 110757

CHICAGO , IL

Past

April 19, 1995 - December 13, 2006

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

January 6, 1995 - April 25, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

Past

April 9, 1992 - December 2, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 9, 1992 - December 2, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, 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.

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

Arizona
(11/7/2025)

California
(11/7/2025)

Colorado
(11/7/2025)

Delaware
(11/7/2025)

Florida
(11/7/2025)

Georgia
(11/7/2025)

Idaho
(11/7/2025)

Illinois
(11/7/2025)

IAR

Illinois
(11/7/2025)

Indiana
(11/14/2025)

Iowa
(11/7/2025)

Kansas
(11/7/2025)

Kentucky
(11/7/2025)

Louisiana
(11/7/2025)

Maryland
(11/7/2025)

Michigan
(11/7/2025)

Missouri
(11/7/2025)

Nevada
(11/7/2025)

New Jersey
(11/7/2025)

New Mexico
(11/7/2025)

New York
(11/7/2025)

North Carolina
(11/7/2025)

Ohio
(11/7/2025)

Oregon
(11/7/2025)

South Carolina
(11/7/2025)

Tennessee
(11/7/2025)

Texas
(11/7/2025)

IAR

Texas
(11/7/2025)

Virginia
(11/7/2025)

Washington
(11/7/2025)

West Virginia
(11/7/2025)

Wisconsin
(11/7/2025)

Wyoming
(11/7/2025)

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

State Security Law Exam

IAR

Series 65

Date: 6/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/2/1998

Registered Options 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert A. Hon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Andrew Hon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Andrew Hon's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

GREAT LAKES ADVISORS, LLC

WINTRUST INVESTMENTS LLC

L.C. WEGARD & CO., INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/1999

Series 63

Date: 4/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/5/1995

Series 6

Date: 4/8/1992

Series 4

Date: 7/2/1998

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

Contact information

Similar Advisors