BR
Brian D. Riley
ROCKEFELLER FINANCIAL LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2749915
BR
Professional summary
Brian David Riley, who also goes by Brian D Riley, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in San Francisco, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian D Riley
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brian David Riley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian David Riley'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 1, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067Office #3: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660Office #4: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
Los Angeles, CA
Current
August 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: Two Embarcadero Center, Suite 2320, San Francisco, CA 94111RIA
CRD#: 294197
San Francisco, CA
Current
April 2, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067Office #2: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660Office #3: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
Los Angeles, CA
Past
July 15, 2015 - June 26, 2019
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
July 15, 2015 - June 26, 2019
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
San Francisco, CA
Past
October 2, 1996 - July 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
September 13, 1996 - July 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(4/2/2020)
RR
Alaska(4/2/2020)
RR
Arizona(4/2/2020)
RR
Arkansas(4/2/2020)
IAR
California(4/1/2020)
RR
California(4/2/2020)
RR
Colorado(4/2/2020)
RR
Connecticut(4/2/2020)
RR
Delaware(4/2/2020)
RR
District of Columbia(4/2/2020)
RR
Florida(4/2/2020)
RR
Georgia(4/2/2020)
RR
Hawaii(4/2/2020)
RR
Idaho(4/2/2020)
RR
Illinois(4/2/2020)
RR
Indiana(4/2/2020)
RR
Iowa(4/2/2020)
RR
Kansas(4/2/2020)
RR
Kentucky(4/2/2020)
RR
Louisiana(4/2/2020)
RR
Maine(4/2/2020)
RR
Maryland(4/2/2020)
RR
Massachusetts(4/2/2020)
RR
Michigan(4/2/2020)
RR
Minnesota(4/2/2020)
RR
Mississippi(4/2/2020)
RR
Missouri(4/2/2020)
RR
Montana(4/2/2020)
RR
Nebraska(4/2/2020)
RR
Nevada(4/2/2020)
RR
New Hampshire(4/2/2020)
RR
New Jersey(4/2/2020)
RR
New Mexico(4/2/2020)
RR
New York(4/2/2020)
RR
North Carolina(4/2/2020)
RR
North Dakota(4/2/2020)
RR
Ohio(4/2/2020)
RR
Oklahoma(4/2/2020)
RR
Oregon(4/2/2020)
RR
Pennsylvania(4/2/2020)
RR
Rhode Island(4/2/2020)
RR
South Carolina(4/2/2020)
RR
South Dakota(11/3/2020)
RR
Tennessee(4/2/2020)
RR
Texas(4/2/2020)
IAR
Texas(8/7/2024)
RR
Utah(4/2/2020)
RR
Vermont(4/2/2020)
RR
Virginia(4/2/2020)
RR
Washington(4/2/2020)
RR
West Virginia(4/2/2020)
RR
Wisconsin(4/2/2020)
RR
Wyoming(4/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
