Rajeev Rathi
ROCKEFELLER CAPITAL MANAGEMENT | Private Wealth Advisor
NAPLES, FL
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CRD#: 2636350
Professional summary
Rajeev Rathi is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Naples, Florida and ROCKEFELLER FINANCIAL LLC located in Naples, Florida.
Rajeev is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Rajeev has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
For profit or not for profit: For-Profit Organization Name of outside business organization: Medinah Country Club Investment related: N Address of business: Medinah, Illinois 60157 Nature of business: Other,Country Club Position, title, association: Committee Member, Start date of relationship: 04/25/2025 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Committee sets golf policy at Medinah country club.
CRS (Client Relationship Summary) - RIA
Click below to view Rajeev Rathi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rajeev Rathi'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
April 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
NAPLES, FL
Current
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
NAPLES, FL
Current
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
October 10, 2014 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
October 10, 2014 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
Past
June 15, 2005 - October 20, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OAKBROOK TERRACE, IL
Past
May 25, 2005 - October 20, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OAKBROOK TERRACE, IL
Past
March 14, 2001 - April 27, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 31, 1995 - February 15, 2001
JPMSI
BD
CRD#: 15733
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
Alabama(9/29/2025)
RR
Alaska(4/17/2025)
RR
Arizona(4/17/2025)
RR
California(4/17/2025)
RR
Colorado(4/17/2025)
RR
Connecticut(4/17/2025)
RR
Delaware(4/17/2025)
RR
Florida(4/17/2025)
IAR
Florida(4/28/2025)
RR
Georgia(4/17/2025)
RR
Illinois(4/17/2025)
RR
Indiana(4/17/2025)
RR
Kansas(4/17/2025)
RR
Kentucky(4/17/2025)
RR
Maryland(4/17/2025)
RR
Massachusetts(4/17/2025)
RR
Michigan(4/17/2025)
RR
Minnesota(4/17/2025)
RR
Missouri(4/17/2025)
RR
Montana(4/17/2025)
RR
Nevada(4/17/2025)
RR
New Jersey(4/17/2025)
RR
New York(4/17/2025)
RR
North Carolina(4/17/2025)
RR
Ohio(4/17/2025)
RR
Oregon(4/17/2025)
RR
Pennsylvania(4/17/2025)
RR
Puerto Rico(4/17/2025)
RR
South Carolina(4/17/2025)
RR
Tennessee(4/17/2025)
RR
Texas(4/17/2025)
IAR
Texas(4/17/2025)
RR
Utah(4/17/2025)
RR
Virgin Islands(11/13/2025)
RR
Virginia(4/17/2025)
RR
Washington(4/17/2025)
RR
Wisconsin(4/17/2025)
RR
Wyoming(4/17/2025)
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
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
Private Wealth AdvisorCRD#: 291361Naples, FLTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
