Jon B. Wildermuth

ROCKEFELLER CAPITAL MANAGEMENT

Chicago, IL 60606

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CRD#: 2637152

Professional summary

Jon Brent Wildermuth JR, who also goes by Jack Wildermuth Jr, Jack Wildermuth, Jon Brent Wildermuth, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Chicago, Illinois and ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.

Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jon has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Wildermuth Jr | Jack Wildermuth | Jon Brent Wildermuth

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Brent Wildermuth JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jon Brent Wildermuth JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 15, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 294197

Chicago, IL

Current

October 15, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 291361

Chicago, IL

Current

October 15, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606

RIA

CRD#: 291361

Chicago, IL

Past

October 9, 2024 - March 10, 2025

SENDERO WEALTH MANAGEMENT, LLC

RIA

CRD#: 145594

Chicago, IL

Past

October 9, 2024 - March 10, 2025

SENDERO SECURITIES, LLC

CRD#: 146627

SAN ANTONIO, TX

Past

May 16, 2008 - October 18, 2024

HARRIS ASSOCIATES SECURITIES L.P.

CRD#: 6959

CHICAGO, IL

Past

February 1, 2006 - April 28, 2008

PAVILION ADVISORY GROUP INC.

RIA

CRD#: 137901

CHICAGO, IL

Past

January 17, 2002 - January 27, 2006

STRATFORD ADVISORY GROUP INC

RIA

CRD#: 105749

CHICAGO, IL

Past

August 23, 1995 - July 8, 1997

WILLIAM R. HOUGH & CO.

CRD#: 2235

ST. PETERSBURG, FL

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".

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)

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.

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

Alabama
(10/15/2025)

Arizona
(10/15/2025)

Arkansas
(10/15/2025)

California
(10/15/2025)

Colorado
(10/15/2025)

Florida
(10/15/2025)

Illinois
(10/15/2025)

IAR

Illinois
(10/15/2025)

Iowa
(10/15/2025)

Michigan
(10/15/2025)

New Jersey
(10/15/2025)

New York
(10/15/2025)

Ohio
(10/16/2025)

Oklahoma
(10/15/2025)

Tennessee
(10/15/2025)

Texas
(10/15/2025)

IAR

Texas
(10/15/2025)

Wisconsin
(10/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/14/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/22/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/15/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jon B. Wildermuth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Brent Wildermuth JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jon Brent Wildermuth JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

SENDERO WEALTH MANAGEMENT, LLC

SENDERO SECURITIES, LLC

HARRIS ASSOCIATES SECURITIES L.P.

PAVILION ADVISORY GROUP INC.

STRATFORD ADVISORY GROUP INC

WILLIAM R. HOUGH & CO.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/2025

Series 65

Date: 6/22/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2013

Series 6

Date: 5/15/2008

Series 24

Date: 3/11/2014

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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