AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TG

Tracy A. Gravius

ROCKEFELLER FINANCIAL LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4615069
TG

Professional summary

Tracy Ann Gravius, CFP®, who also goes by Tracy A Gravius, Tracy A Johnson, Tracy Ann Johnson, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut and ROCKEFELLER CAPITAL MANAGEMENT located in Stamford, Connecticut.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Tracy has worked at 5 firms and has passed the Series 63, Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tracy A Gravius | Tracy A Johnson | Tracy Ann Johnson

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Ann Gravius's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Tracy Ann Gravius's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Experience

Current

October 21, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902
RIA
BD
CRD#: 291361
Stamford, CT
Current

August 9, 2024 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 300 First Stamford Place, Suite 230, Stamford, CT 06902
RIA
CRD#: 294197
Stamford, CT
Current

December 10, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902
RIA
BD
CRD#: 291361
Stamford, CT
Past

October 1, 2012 - March 26, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
GREENWICH, CT
Past

October 1, 2012 - August 18, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
GREENWICH, CT
Past

May 29, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
RIVERSIDE, CT
Past

May 29, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
RIVERSIDE, CT
Past

October 1, 2008 - April 17, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
GREENWICH, CT
Past

October 1, 2008 - April 17, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
GREENWICH, CT
Past

November 2, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
NEW CANAAN, CT
Past

November 2, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW CANAAN, CT
Past

February 21, 2006 - November 17, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
APPLETON, WI
Past

January 31, 2006 - November 17, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
APPLETON, WI

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

IAR
Connecticut
(10/21/2021)
RR
Connecticut
(11/20/2024)
IAR
Texas
(8/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/17/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2023
General Securities Principal Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (12.24.25) (12/26/2025)
ROCKEFELLER FINANCIAL ADV 2A BROCHURE (12.24.25) (12/24/2025)

Direct owners and executive officers

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCHIEF COMPLIANCE OFFICER5080469
MORIARTY, EDMOND NICHOLASCO-CHIEF EXECUTIVE OFFICER1744318
OUTLAW, MICHAEL WAYNECO-CHIEF EXECUTIVE OFFICER2760690

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/24/2025
Cover Page
Report
08/26/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

CRD#: 291361Stamford, CT 06902

TRUST BUT VERIFY

Monitor Tracy Gravius

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.