Emily K. Rubin
ROCKEFELLER CAPITAL MANAGEMENT | Managing Director - Wealth Management
NEW YORK, NY 10111
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CRD#: 2260469
Professional summary
Emily Kramer Rubin, CFP®, CIMA®, who also goes by Emily E Kramer, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in New York, New York and ROCKEFELLER FINANCIAL LLC located in New York, New York.
Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Emily has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Emily Kramer Rubin is a managing partner in the Entrepreneurs Group at UBS Private Wealth Management, which manages over $2 billion in client assets and has been managing the financial well-being of its clients for over 50 years. At the Entrepreneurs Group, our focus is helping entrepreneurs and their families thrive.
Emily delivers personalized solutions to entrepreneurs, senior business executives and exceptional families to help guide them to long-term financial well-being.
What truly sets Emily apart is the level of care she provides. She works closely with her clients, building lasting, deep, multi-generational relationships based on trust and mutual understanding. She listens carefully, challenging when appropriate and advising with honesty. Her attention to detail and analysis gives her clients comfort that she is providing well thought-out solutions that achieve their goals. Her dedication, patience and personal touch help her build strong trusting relationships with the different generations of each family to bring continuity to their long-term objectives.
Through her expertise and client focus, Emily has distinguished herself as an industry leader as demonstrated by her being named to the Forbes America's Top Wealth Advisor list, as well as both the Barron's Top Women Financial Advisors list and the Forbes Top Women Wealth Advisors list every year since 2017. She also has been profiled in Working Mother magazine as a Top Wealth Adviser Mom and has been featured on several financial news televisions shows.
Emily entered the financial services industry with UBS in 2002. At UBS she successfully expanded and transitioned her family business and has since merged with the Entrepreneurs Group, bringing her unique insight and experience to her team and clients. Always striving to increase her knowledge base and enhance her value to clients, Emily has earned her Certified Financial Planner (CFP®), Certified Exit Planning Analyst (CEPA®), Certified Investment Management Analyst (CIMA®) and Chartered Retirement Planning Counselor (CRPC®) designations.
Emily is a member of the UBS Pinnacle Council and has the distinction of being a Family Office Consultant and part of our prestigious Private Wealth Management division.
Prior to UBS, she worked as a management consultant at McKinsey & Company, where she advised senior executives facing complex business challenges. She has an M.B.A. from Dartmouth College's Amos Tuck School of Business and a Bachelor's degree from The University of Pennsylvania's Wharton School of Business. Emily lives in Greenwich, CT with her husband and two children. She is an active member of her community and enjoys a good round of golf.
Question & Answer
What are your service offerings?
Philanthropic services
Loans/credit services
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Emily E Kramer
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 Emily Kramer Rubin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emily Kramer Rubin'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®
CFP®
Start date: 2005
Education
Finance, General
1996 - 1998
Marketing and Multinational Management
1990 - 1994
French Language and Literature
1990 - 1994
Experience
Current
July 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza Suite 2000, New York, NY 10111RIA
CRD#: 294197
NEW YORK, NY
Current
July 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
July 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
April 12, 2004 - July 28, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
New York, NY
Past
February 20, 2003 - July 28, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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(7/17/2025)
RR
California(7/17/2025)
RR
Colorado(7/17/2025)
RR
Connecticut(7/17/2025)
RR
Delaware(7/17/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(7/17/2025)
RR
Georgia(7/17/2025)
RR
Hawaii(7/17/2025)
RR
Illinois(7/17/2025)
RR
Kentucky(7/17/2025)
RR
Maine(7/17/2025)
RR
Maryland(7/17/2025)
RR
Massachusetts(7/17/2025)
RR
Michigan(7/17/2025)
RR
Missouri(7/17/2025)
RR
New Hampshire(7/17/2025)
RR
New Jersey(7/17/2025)
RR
New York(7/17/2025)
IAR
New York(7/17/2025)
RR
North Carolina(7/17/2025)
RR
Ohio(7/17/2025)
RR
Oklahoma(7/17/2025)
RR
Oregon(7/17/2025)
RR
Pennsylvania(7/17/2025)
RR
Rhode Island(7/17/2025)
RR
South Carolina(7/17/2025)
RR
Tennessee(7/17/2025)
RR
Texas(7/17/2025)
IAR
Texas(7/17/2025)
RR
Utah(7/17/2025)
RR
Vermont(7/17/2025)
RR
Virginia(7/17/2025)
RR
Washington(7/17/2025)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing Director - Wealth ManagementCRD#: 291361New York, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
