HM
Hans S. Maentz
ROCKEFELLER FINANCIAL LLC
Park City, UT
Some features on this profile are disabled
CRD#: 4585412
HM
Professional summary
Hans S Maentz, CIMA®, who also goes by Hans S. Maentz, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Park City, Utah and ROCKEFELLER CAPITAL MANAGEMENT located in Park City, Utah.
Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Hans has worked at 5 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hans S. Maentz
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. THE HILL SCHOOL 717 HIGH STREET, POTTSTOWN PA- EDUCATIONAL INSTITUTION. MEMBER OF BOARD OF TRUSTEES, ATTENDS THE REUNION WEEKEND AND THREE TRUSTEE MEETINGS PER YEAR, 0 HOURS DURING OFFICE HOURS PER WEEK, AND 2 HOURS OUTSIDE PER WEEK. STARTED IN 2001
2. SUNAPEE HOLDINGS INC; PERSONAL HOLDING COMPANY FOR MY IMMEADIATE FAMILY, WIFE AMY AND I ARE THE ONLY OFFICERS, WE ARE RESPONSIBLE FOR THE PASSIVE INVESTMENTS IN PRIVATE INVESTMENTS; 01/2013
CRS (Client Relationship Summary) - RIA
Click below to view Hans S Maentz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hans S Maentz'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®
Experience
Current
March 11, 2021 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Park City, UT
Current
October 10, 2023 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
Park City, UT
Current
March 11, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067Office #2: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
Los Angeles, CA
Past
June 1, 2009 - March 30, 2021
MORGAN STANLEY
RIA
CRD#: 149777
LOS ANGELES, CA
Past
June 1, 2009 - March 30, 2021
MORGAN STANLEY
BD
CRD#: 149777
LOS ANGELES, CA
Past
August 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LOS ANGELES, CA
Past
August 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LOS ANGELES, CA
Past
April 27, 2004 - August 26, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
LOS ANGELES, CA
Past
October 22, 2002 - August 26, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
LOS ANGELES, 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
Alaska(4/5/2021)
RR
Arizona(3/11/2021)
RR
California(3/11/2021)
IAR
California(3/11/2021)
RR
Colorado(3/11/2021)
RR
Connecticut(3/11/2021)
RR
Delaware(3/11/2021)
RR
District of Columbia(9/12/2025)
RR
Florida(3/11/2021)
RR
Georgia(4/6/2021)
RR
Indiana(3/10/2023)
RR
Louisiana(3/11/2021)
RR
Massachusetts(3/11/2021)
RR
Michigan(3/11/2021)
RR
Minnesota(4/2/2021)
RR
Nevada(3/11/2021)
RR
New Hampshire(4/29/2024)
RR
New Jersey(3/11/2021)
RR
New Mexico(3/11/2021)
RR
New York(3/11/2021)
RR
Ohio(3/11/2021)
RR
Oklahoma(3/11/2021)
RR
Oregon(3/11/2021)
RR
Pennsylvania(3/11/2021)
RR
Tennessee(9/15/2021)
IAR
Texas(3/11/2021)
RR
Texas(3/25/2021)
IAR
Texas(10/10/2023)
RR
Utah(3/11/2021)
IAR
Utah(10/25/2023)
RR
Vermont(3/11/2021)
RR
Virginia(3/13/2021)
RR
Washington(3/11/2021)
RR
Wisconsin(3/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
