Angela K. Mwanza
ROCKEFELLER FINANCIAL LLC | Private Wealth Advisor, Family Office Consultant, Senior Portfolio Management
New York, NY 10111
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CRD#: 4283818
Professional summary
Angela Kaya Mwanza is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in New York, New York.
Angela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Angela has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Loans/credit services
Financial planning
Trust & estate planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) CORNELL UNIVERSITY / EDUCATIONAL INSTITUTION/ DAY HALL ITHACA, NEW YORK 14853 / GUEST LECTURER/ START DATE 8/1/11 2) HM3B LLC, Ithaca NY. Partnership/ Real Estate. Structure to own a vacation home to limit liability. Zero hours a month and zero hours during trading hours. Partner since March 2019. 3) Jumia Technologies AG, Charlottenstrasse 4, Germany/ https://group.jumia.com. Investment related. Member of the supervisory board serving on the Risk and Audit Committee, Corporate Governance and Nominations Committee, and Compensation Committees. Start date February 2019 4) Project Drawdown, non-investment related. 3450 Sacramento Street, #506, San Francisco, CA. Charity entity where she's on the Board of Directors since September 2022. Advisor to the management board to assist in achieving their very important mission to combat climate change in very practical ways. One to two hours a quarter dedicated to this role. Zero hours during trading hours. 5) Yellow Work, Inc./ Category - Charity/ Principal business Activity - Focused on providing education to underserved communities and supporting teachers to ensure every child has a chance. Advisor or advisory group member if advice given may influence an officer/board. Provide advice as requested by management and staff around their core activities and strategies. Non-compensated role. Start date April 2019. 2 hours a quarter dedicated to this role. Zero hours during trading hours. 6) Summit Junto LLC, WeWork c/o Brent Sutherland, 901 Woodland Street, Nashville, TN. Investment related. Summit Junto is a membership organization for the leaders of our time. She's a Member of the Board of Directors in a advisor capacity since September 2022. She brings her global perspective and deep knowledge about sustainable and impact investing as well as philanthropy to the member experience. One to two hours per quarter and zero hours during trading hours dedicated to this role. 7) Thunder & Lightning LLC; Investment related. 918 East Shore Drive, Ithaca, NY; Rental Property; Half owner of the LLC; 09/24/2024. 0 hours a month and 0 hours during trading hours. Co-Managing Member.
CRS (Client Relationship Summary) - RIA
Click below to view Angela Kaya Mwanza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Angela Kaya Mwanza'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
August 11, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111RIA
CRD#: 294197
New York, NY
Current
August 11, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
September 18, 2008 - August 22, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
September 18, 2008 - August 22, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
March 11, 2008 - September 24, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
April 8, 2004 - September 24, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 28, 2002 - April 29, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
May 1, 2001 - November 12, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 14, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
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
California(8/11/2023)
RR
Colorado(8/11/2023)
RR
Connecticut(8/11/2023)
RR
Delaware(8/11/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/11/2023)
RR
Iowa(8/13/2024)
RR
Kentucky(8/11/2023)
RR
Maryland(8/11/2023)
RR
Massachusetts(8/11/2023)
RR
Missouri(8/11/2023)
RR
Nevada(8/11/2023)
RR
New Jersey(8/11/2023)
RR
New York(8/11/2023)
IAR
New York(8/11/2023)
RR
Pennsylvania(8/11/2023)
RR
South Carolina(8/11/2023)
RR
South Dakota(8/11/2023)
RR
Tennessee(8/11/2023)
IAR
Texas(2/22/2024)
RR
Vermont(8/11/2023)
RR
Virginia(8/11/2023)
Exams
State Security Law Exam
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
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Private Wealth Advisor, Family Office Consultant, Senior Portfolio ManagementCRD#: 291361New York, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
