RP
Robert L. Panetti
ROCKEFELLER FINANCIAL LLC
Newport Beach, CA 92660
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CRD#: 2628960
RP
Professional summary
Robert Lincoln Panetti, CFA, who also goes by Robert Panetti, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Newport Beach, California and ROCKEFELLER CAPITAL MANAGEMENT located in Newport Beach, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Panetti
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.
Patient Capital LLC; Investment related; Corona del Mar, CA; Personal loan; Managing Member; 02/10/2025; 1 hour per month; 0 hours during trading hours; Managing wires in and out from the business on the personal loan.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lincoln Panetti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Lincoln Panetti'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®
Experience
Current
September 8, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660RIA
BD
CRD#: 291361
Newport Beach, CA
Current
August 12, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 800 Newport Center Drive Suite 500, Newport Beach, CA 92660RIA
CRD#: 294197
Newport Beach, CA
Current
September 8, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660RIA
BD
CRD#: 291361
Newport Beach, CA
Past
May 16, 2008 - June 17, 2021
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
NEWPORT BEACH, CA
Past
May 16, 2008 - June 17, 2021
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEWPORT BEACH, CA
Past
January 7, 2008 - May 1, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWPORT BEACH, CA
Past
June 20, 2007 - May 1, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
July 8, 1997 - May 12, 2007
CAPITAL RESERVE ADVISORS, INC.
RIA
CRD#: 124807
NEWPORT BEACH, CA
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(9/8/2021)
RR
California(9/8/2021)
IAR
California(9/8/2021)
RR
Colorado(9/8/2021)
RR
Delaware(3/10/2023)
RR
Florida(8/4/2023)
RR
Georgia(1/23/2024)
RR
Idaho(9/8/2021)
RR
Massachusetts(9/8/2021)
RR
Missouri(3/2/2023)
RR
Montana(9/8/2021)
RR
Nevada(3/10/2023)
RR
Oregon(4/17/2024)
RR
Texas(9/8/2021)
IAR
Texas(9/8/2021)
RR
Washington(9/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 6/9/1995
Non-Member General Securities ExaminationPrincipal/Supervisory 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.
