Arthur Goodall Alexander JR

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Contact Information

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Disclosures on record.

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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Years of Experience

52 years registered in the securities industry

Current & Past Employments

Current

ROCKEFELLER FINANCIAL LLCCurrent·CRD# 291361

RIA

BD

300 Crescent Court Suite 1450, Dallas, TX 75201

November 25, 2019 - Present

ROCKEFELLER CAPITAL MANAGEMENTCurrent·CRD# 294197

RIA

300 Crescent Court Suite 1840, Dallas, TX 75201

August 29, 2025 - Present

ROCKEFELLER FINANCIAL LLCCurrent·CRD# 291361

RIA

BD

300 Crescent Court Suite 1450, Dallas, TX 75201

November 22, 2019 - Present

Past

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

RIA

Dallas, TX

August 23, 1983 - November 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

BD

Dallas, TX

September 26, 1978 - November 26, 2019

ROCKEFELLER FINANCIAL LLCPast·CRD# 291361

RIA

New York, NY

November 22, 2019 - November 24, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.Past·CRD# 572

BD

March 8, 1974 - September 26, 1978

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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)

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

1,005

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (03.31.26) (3/31/2026)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (03.31.26) (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER	—
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CHIEF COMPLIANCE OFFICER	5080469
MORIARTY, EDMOND NICHOLAS	CO-CHIEF EXECUTIVE OFFICER	1744318
OUTLAW, MICHAEL WAYNE	CO-CHIEF EXECUTIVE OFFICER	2760690

Regulatory Assets Under Management

Total Number of Accounts

95,368

AUM (Assets Under Management)

$99,603,487,232

Disclosures

Regulatory Event

1

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/26/2026	Cover Page	Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Mr. Alexander is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. L Abbott Trust; Investment Related; Trustee; 12/5/1980; Dallas, TX; 1 hour per month; 1 hour per month during trading hours; Trustee of a family related trust with fiduciary responsibilities.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/26/2019)

RR

Arizona
(11/22/2019)

RR

California
(11/22/2019)

RR

Colorado
(11/22/2019)

RR

Florida
(11/22/2019)

RR

Georgia
(11/22/2019)

RR

Illinois
(12/16/2019)

RR

Iowa
(12/2/2019)

RR

Louisiana
(11/22/2019)

RR

Maryland
(12/18/2023)

RR

Massachusetts
(3/20/2023)

RR

Michigan
(1/13/2021)

RR

Minnesota
(7/22/2026)

RR

Mississippi
(11/22/2019)

RR

Nebraska
(11/22/2019)

RR

New Hampshire
(3/19/2020)

RR

New Jersey
(11/22/2019)

RR

New Mexico
(12/22/2025)

RR

New York
(11/22/2019)

RR

Ohio
(1/24/2024)

RR

Oklahoma
(11/25/2019)

RR

Pennsylvania
(8/30/2024)

RR

South Carolina
(1/27/2023)

RR

Tennessee
(11/12/2026)

RR

Texas
(11/25/2019)

IAR

Texas
(11/25/2019)

RR

Vermont
(12/18/2023)

RR

Virginia
(5/5/2023)

RR

Wyoming
(11/22/2019)

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.