Michael N. Bapis
ROCKEFELLER FINANCIAL LLC | Managing Director
New York, NY 10111
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CRD#: 2211594
Professional summary
Michael Nicholas Bapis, who also goes by Michael Bapis, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Executive services/Equity comp...
Insurance
Institutional consulting
Trading individual securities
Trust & estate planning
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Michael Bapis
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.
01/01/09 - LEADERSHIP 100 CHARITY, BOARD MEMBER (NON INVESTMENT RELATED ENDOWMENT FUND RECENTLY RENAMED THE ARCHBISHOP IAKOVOS LEADERSHIP 100 ENDOWMENT FUND) DISPURSES GRANTS RANDING FROM SCHOLARSHIP FUNDS FOR INDIVIDUALS STUDYING FOR THE PRIESTHOOD, BUILDING AN INFRASTRUCTURE AND INTERNET MINISTRIES FOR THE ARCHDIOCESE, PROMOTING THE NATIONAL MINISTRIES AND PROVIDING ASSISTANCE TO EMERGENCIES SUCH AS SEPT. 11, HURRICANE KATRINA, EARTHQUAKES AND MEDICAL NEEDS. 15 HRS/OUTSIDE BUSINESS HOURS PER MONTH, NON-COMPENSATED POSITION 11/2010 - PERCENTAGE OWNER OF FISH TAG RESTAURANT, NEW YORK CITY. NON-INVESTMENT RELATED BUSINESS. REP. SPENDS 0 HOURS PER MONTH, 0 HOURS DURING TRADING ON BUSINESS. 3/2018- Member of advisory board for CAIS. Advisory bard for CAIS funds. No compensation received, no financial interest in OBA, 3 hrs per month devoted to OBA and 0 during trading hours. Mr. Bapis is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Nicholas Bapis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Nicholas Bapis'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
January 15, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
December 18, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111RIA
CRD#: 294197
New York, NY
Current
May 16, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
September 7, 2018 - May 23, 2019
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
NEW YORK, NY
Past
November 7, 2008 - September 12, 2018
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
NEW YORK, NY
Past
November 7, 2008 - September 12, 2018
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
NEW YORK, NY
Past
April 2, 2007 - November 13, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
April 2, 2007 - November 13, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
May 24, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NEW YORK, NY
Past
July 21, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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
Arizona(5/16/2019)
RR
Arkansas(5/16/2019)
RR
California(5/16/2019)
RR
Colorado(5/16/2019)
RR
Connecticut(5/16/2019)
RR
Delaware(4/3/2023)
RR
District of Columbia(5/16/2019)
RR
Florida(5/16/2019)
RR
Georgia(5/16/2019)
RR
Hawaii(3/6/2023)
RR
Idaho(5/16/2019)
RR
Illinois(5/16/2019)
RR
Indiana(4/3/2023)
RR
Kansas(5/16/2019)
RR
Kentucky(4/3/2023)
RR
Louisiana(5/16/2019)
RR
Maine(4/3/2023)
RR
Maryland(5/16/2019)
RR
Massachusetts(5/16/2019)
RR
Michigan(5/16/2019)
RR
Minnesota(5/16/2019)
RR
Missouri(5/16/2019)
RR
Montana(5/16/2019)
RR
Nevada(5/16/2019)
RR
New Hampshire(4/3/2023)
RR
New Jersey(5/16/2019)
RR
New York(5/16/2019)
IAR
New York(9/30/2021)
RR
North Carolina(11/17/2022)
RR
Ohio(1/16/2020)
RR
Oklahoma(1/10/2020)
RR
Oregon(5/16/2019)
RR
Pennsylvania(5/16/2019)
RR
Puerto Rico(4/3/2023)
RR
South Carolina(5/16/2019)
RR
South Dakota(5/16/2019)
RR
Tennessee(2/16/2021)
RR
Texas(5/16/2019)
IAR
Texas(10/1/2021)
IAR
Texas(12/18/2024)
RR
Utah(5/16/2019)
RR
Vermont(4/3/2023)
RR
Virgin Islands(4/3/2023)
RR
Virginia(5/16/2019)
RR
Washington(5/16/2019)
RR
West Virginia(4/3/2023)
RR
Wisconsin(4/3/2023)
RR
Wyoming(5/16/2019)
Exams
State Security Law Exam
State Security Law 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#: 291361New York, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
