Alexander C. Ladage
ROCKEFELLER FINANCIAL LLC | Managing Director - Wealth Management
AUSTIN, TX 78701
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CRD#: 4452169
Professional summary
Alexander Charles Ladage is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Austin, Texas.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Alexander has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Biography
The mission of the Ladage Group is to help preserve, enhance, and enable the transfer of wealth. Mr. Ladage and his team focus on serving clients through careful financial planning, comprehensive risk analysis, and regular communication to understand client's changing needs.
Question & Answer
What are your service offerings?
Trust & estate planning
Executive services/Equity comp...
Philanthropic services
Financial planning
Trading individual securities
Loans/credit services
Insurance
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
3M
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) 1500 Travis Heights Blvd; Investment Related; Austin, TX; Real Estate; Owner; 10/1/2008; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 2) 300 Le Grande Ave, Unit 1; Investment Related; Austin, TX; Real Estate; Owner; 10/15/2024; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 3) 300 Le Grande Ave, Unit 5; Investment Related; Austin, TX; Real Estate; Owner; 9/1/2019; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 4) 300 Le Grande Ave, Unit 6; Investment Related; Austin, TX; Real Estate; Owner; 10/1/2005; 2 hours per month; 0 hours during trading hours; Rental Real Estate.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Charles Ladage's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Charles Ladage'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
January 13, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Current
January 13, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Past
May 1, 2009 - January 24, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
May 1, 2009 - January 24, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
Past
November 29, 2001 - May 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
November 8, 2001 - May 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
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(12/23/2024)
RR
Arkansas(1/13/2023)
RR
California(1/13/2023)
RR
Colorado(1/13/2023)
RR
Florida(1/13/2023)
RR
Georgia(1/13/2023)
RR
Idaho(2/6/2023)
RR
Illinois(1/24/2023)
RR
Iowa(1/13/2023)
RR
Louisiana(1/13/2023)
RR
Massachusetts(1/13/2023)
RR
Minnesota(2/1/2023)
RR
Mississippi(1/22/2023)
RR
Missouri(1/13/2023)
RR
Montana(1/13/2023)
RR
Nevada(1/13/2023)
RR
New York(1/13/2023)
RR
North Carolina(1/13/2023)
RR
Oklahoma(1/13/2023)
RR
Oregon(11/7/2024)
RR
Pennsylvania(1/13/2023)
RR
Puerto Rico(1/13/2023)
RR
Tennessee(1/13/2023)
RR
Texas(1/13/2023)
IAR
Texas(1/13/2023)
RR
Utah(1/13/2023)
RR
Vermont(1/13/2023)
RR
Virginia(1/13/2023)
RR
Washington(1/13/2023)
RR
Wisconsin(1/13/2023)
Exams
State Security Law 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.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing Director - Wealth ManagementCRD#: 291361Austin, TX 78701TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
