Adam B. Landau
ROCKEFELLER FINANCIAL LLC | Managing Director
Palm Beach Gardens, FL 33410
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CRD#: 2204351
Professional summary
Adam Baker Landau, who also goes by Adam B Landau, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Executive services/Equity comp...
Trust & estate planning
Loans/credit services
Financial planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
Adam B Landau
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 Adam Baker Landau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Baker Landau'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®
NoneExperience
Current
May 3, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Current
May 3, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Past
June 1, 2009 - May 16, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
June 1, 2009 - May 16, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHARLOTTE, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHARLOTTE, NC
Past
August 19, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHARLOTTE, NC
Past
August 19, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CHARLOTTE, NC
Past
December 31, 2001 - August 23, 2005
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CHARLOTTE, NC
Past
February 11, 2000 - August 23, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
February 10, 1992 - February 24, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
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
California(5/3/2024)
RR
Colorado(5/3/2024)
RR
Florida(5/3/2024)
IAR
Florida(11/4/2025)
RR
Georgia(5/3/2024)
RR
Illinois(5/3/2024)
RR
Michigan(5/3/2024)
RR
New Jersey(5/3/2024)
RR
New York(5/22/2024)
RR
North Carolina(5/3/2024)
IAR
North Carolina(5/3/2024)
RR
Ohio(5/3/2024)
RR
Oregon(5/3/2024)
RR
South Carolina(5/3/2024)
RR
Tennessee(5/3/2024)
RR
Texas(5/3/2024)
IAR
Texas(5/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing DirectorCRD#: 291361Palm Beach Gardens, FL 33410TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
