DH
David M. Harvan
ROCKEFELLER FINANCIAL LLC | Wealth Management Advisor
Palm Beach Gardens, FL 33410
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CRD#: 3245597
DH
Professional summary
David Michael Harvan, CFP®, who also goes by David M Harvan, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida and ROCKEFELLER CAPITAL MANAGEMENT located in Palm Beach Gardens, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Loans/credit services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
David M Harvan
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 David Michael Harvan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Michael Harvan'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®
CFP®
Start date: 2015
Experience
Current
October 20, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Current
November 5, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3835 Pga Boulevard Suite 307, Palm Beach Gardens, FL 33410RIA
CRD#: 294197
Palm Beach Gardens, FL
Current
October 20, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Past
July 23, 1999 - October 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JUPITER, FL
Past
July 22, 1999 - October 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JUPITER, 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".
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(10/20/2023)
RR
California(10/20/2023)
RR
Colorado(10/20/2023)
RR
Connecticut(10/20/2023)
RR
Delaware(10/20/2023)
RR
District of Columbia(10/20/2023)
RR
Florida(10/20/2023)
IAR
Florida(11/13/2023)
RR
Georgia(10/20/2023)
RR
Maine(10/20/2023)
RR
Maryland(10/20/2023)
RR
Massachusetts(10/20/2023)
RR
Michigan(10/20/2023)
RR
Minnesota(10/20/2023)
RR
Mississippi(2/22/2024)
RR
Missouri(10/20/2023)
RR
Nebraska(10/20/2023)
RR
Nevada(10/20/2023)
RR
New Hampshire(10/20/2023)
RR
New Jersey(10/20/2023)
RR
New York(10/20/2023)
RR
North Carolina(10/20/2023)
RR
Ohio(10/20/2023)
RR
Pennsylvania(10/20/2023)
RR
South Carolina(10/20/2023)
RR
Tennessee(10/20/2023)
RR
Texas(10/20/2023)
IAR
Texas(10/20/2023)
RR
Vermont(10/20/2023)
RR
Virgin Islands(6/11/2025)
RR
Virginia(10/20/2023)
RR
Washington(10/20/2023)
RR
Wisconsin(10/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Wealth Management AdvisorCRD#: 291361Palm Beach Gardens, FL 33410TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
