AH
Andrew D. Horowitz
ROCKEFELLER FINANCIAL LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2696952
AH
Professional summary
Andrew David Horowitz, who also goes by Andrew Horowitz, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Angeles, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 9 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Horowitz
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.
I*104218 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DMH LIMITED INVESTMENT RELATED: N ADDRESS OF BUSINESS: VAN NUYS, CALIFORNIA 91401 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 12/15/2000 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A PASSIVE PARTNERSHIP WITH MY TWO BROTHER AND FATHER I*104217 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOROWITZ ENTERPRISES, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: STEVENSON RANCH, CALIFORNIA 91381 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12/23/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A LONG TERM DONATION TO THE NEW WEST SYMPHONY. IT IS A LIMITED PARTNERSHIP WITH MY FAMILY BEING THE GENERAL PARTNER AND NEW WEST SYMPHONY BEING A LIMITED MEMBER. I*104223 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOROWITZ LEGACY INVESTMENT RELATED: N ADDRESS OF BUSINESS: STEVENSON RANCH, CALIFORNIA 91381 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 11/12/2014 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: THIS IS A LONG TERM DONATION TO THE UNIVERSITY OF SOUTHERN CALIFORNIA. IT IS A LIMITED PARTNERSHIP WITH MY FAMILY BEING THE GENERAL PARTNER AND USC BEING A LIMITED MEMBER. ADH & Company Inc., 24820 Orchard Village, Suite 245, Santa Clarita, CA 91355; Family Investment company to invest in passive investments; President and CEO; 09/21/21; two hours per month; Company to be used for investments.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew David Horowitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew David Horowitz'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
March 16, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Current
August 11, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2000 Avenue Of The Stars, Los Angeles, CA 90067RIA
CRD#: 294197
Los Angeles, CA
Current
March 16, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Past
March 24, 2017 - March 17, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CENTURY CITY, CA
Past
March 24, 2017 - March 17, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CENTURY CITY, CA
Past
December 21, 2011 - March 27, 2017
MORGAN STANLEY
RIA
CRD#: 149777
VALENCIA, CA
Past
November 16, 2011 - March 27, 2017
MORGAN STANLEY
BD
CRD#: 149777
VALENCIA, CA
Past
February 2, 2007 - January 16, 2008
E. S. HOPE FINANCIAL
BD
CRD#: 19885
SAN DIEGO, CA
Past
June 13, 2001 - November 29, 2011
THE ESTATE MANAGEMENT GROUP, INC.
RIA
CRD#: 119293
VALENCIA, CA
Past
November 18, 1997 - November 25, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
VALENCIA, CA
Past
October 9, 1997 - November 25, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
VALENCIA, CA
Past
July 23, 1996 - October 27, 1997
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
February 27, 1996 - July 22, 1996
SMITH CULVER INVESTMENTS
BD
CRD#: 24007
SAN FRANCISCO, 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(3/16/2020)
RR
California(3/16/2020)
IAR
California(3/16/2020)
RR
Colorado(3/30/2021)
RR
Delaware(6/22/2021)
RR
Florida(11/18/2020)
RR
Idaho(1/4/2024)
RR
Illinois(1/4/2024)
RR
Indiana(3/17/2020)
RR
Louisiana(3/16/2020)
RR
Maryland(1/4/2024)
RR
Massachusetts(3/10/2023)
RR
Mississippi(3/16/2020)
RR
Missouri(3/10/2023)
RR
Nevada(3/16/2020)
RR
New Hampshire(4/9/2025)
RR
New Jersey(3/16/2020)
RR
New York(8/10/2020)
RR
North Carolina(3/16/2020)
RR
Ohio(4/6/2022)
RR
Oregon(3/16/2020)
RR
Pennsylvania(1/4/2024)
RR
Texas(3/16/2020)
IAR
Texas(6/22/2021)
RR
Washington(3/16/2020)
RR
Wisconsin(1/4/2024)
RR
Wyoming(2/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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.
