Arthur Goodall Alexander Jr
Professional Summary
Arthur Goodall Alexander JR, who also goes by Art Alexander, Arthur Goodall Alexander II, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas and ROCKEFELLER CAPITAL MANAGEMENT located in Dallas, Texas. Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Arthur has worked at 4 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Art Alexander, Arthur Goodall Alexander Ii
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
Past
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Current Firm
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
Contact Information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Phone Number
(212) 549-5100Established
Delaware since 10/20/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,005SEC 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
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
95,368AUM (Assets Under Management)
$99,603,487,232Disclosures
Regulatory Event
1Accountant 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.
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Primary Firm SEC Registration
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
State Registrations and Notice Filings
(11/26/2019)
(11/22/2019)
(11/22/2019)
(11/22/2019)
(11/22/2019)
(11/22/2019)
(12/16/2019)
(12/2/2019)
(11/22/2019)
(12/18/2023)
(3/20/2023)
(1/13/2021)
(7/22/2026)
(11/22/2019)
(11/22/2019)
(3/19/2020)
(11/22/2019)
(12/22/2025)
(11/22/2019)
(1/24/2024)
(11/25/2019)
(8/30/2024)
(1/27/2023)
(11/25/2019)
(11/25/2019)
(12/18/2023)
(5/5/2023)
(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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Jun 1984Series 5 — Interest Rate Options Examination
Passed Dec 1981PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Mar 1974Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Feb 1981SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Arthur Goodall Alexander JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Goodall Alexander JR's CRS (Customer Relationship Summary).
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