Rachel Zhang
ROCKEFELLER CAPITAL MANAGEMENT | SVP
NEWTOWN, PA 18940
Some features on this profile are disabled
CRD#: 2307360
Professional summary
Rachel Zhang, CFP®, who also goes by Rae Zhang, Rui Zhang, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Newtown, Pennsylvania and ROCKEFELLER FINANCIAL LLC located in Newtown, Pennsylvania.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rachel has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Philanthropic services
Trust & estate planning
Institutional consulting
Loans/credit services
Trading individual securities
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Rae Zhang | Rui Zhang
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.
* 252928 - Family real estate LLC; Investment related; Naples, FL; Real estate investment; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2012; During business hours: 0; After business hours: 0. * 252929- Family real estate LLC; Investment related; Philadelphia, PA; Real estate investment; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Feb 2014; During business hours: 0; After business hours: 0. * 252930 - Mao and Zhang LV LLC; Investment related - Yes; West Windsor, New Jersey; Real estate investment; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Feb 2012; During business hours: 0; After business hours: 2. * 254639 - Family real estate LLC; Investment related; Philadelphia, PA; Real estate investment; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); May 2016; During business hours: 0; After business hours: 0. * 252932 - Real estate rental property; Investment related - Yes; West windsor, New Jersey; Rental; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); June, 2021; During business hours: 0; After business hours: 2. * 424421 - Rental Property; Investment related -Yes; West Windsor, New Jersey; Real Estate; Partner, Sole Proprietor/Owner, Officer (proprietor, partner, officer, director, employee, trustee, agent); 02/2021; During business hours: 0; After business hours: 8;
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Zhang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rachel Zhang'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
Experience
Current
May 16, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 4 Caufield Place, Suite 101, Newtown, PA 18940RIA
CRD#: 294197
NEWTOWN, PA
Current
May 16, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Current
May 16, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Past
June 22, 2015 - May 28, 2025
MORGAN STANLEY
RIA
CRD#: 149777
Lawrenceville, NJ
Past
June 9, 2015 - May 28, 2025
MORGAN STANLEY
BD
CRD#: 149777
Lawrenceville, NJ
Past
October 18, 2002 - December 31, 2008
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
June 14, 2002 - August 14, 2002
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 7, 1999 - July 20, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
July 12, 1996 - March 5, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 12, 1994 - January 23, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
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(5/16/2025)
RR
California(5/16/2025)
RR
Connecticut(5/16/2025)
RR
District of Columbia(5/16/2025)
RR
Florida(5/16/2025)
RR
Georgia(5/16/2025)
RR
Louisiana(5/16/2025)
RR
New Jersey(5/16/2025)
RR
New York(5/16/2025)
RR
North Carolina(5/16/2025)
RR
Oregon(5/16/2025)
RR
Pennsylvania(5/16/2025)
IAR
Pennsylvania(5/16/2025)
RR
Puerto Rico(5/16/2025)
RR
Texas(5/16/2025)
IAR
Texas(5/16/2025)
RR
Virginia(5/16/2025)
RR
Washington(5/16/2025)
RR
Wyoming(11/12/2025)
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.
