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JC

John W. Claghorn

ROCKEFELLER FINANCIAL LLC
New York, NY 10111
Some features on this profile are disabled
CRD#: 47204
JC

Professional summary

John Winthrop Claghorn III, who also goes by John Winthrop Claghorn, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. John has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Winthrop Claghorn

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 John Winthrop Claghorn III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Winthrop Claghorn III'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®
None

Experience

Current

July 14, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza, New York, NY 10111
RIA
BD
CRD#: 291361
New York, NY
Current

February 20, 2024 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111
RIA
CRD#: 294197
NY, NY
Current

July 14, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza, New York, NY 10111
RIA
BD
CRD#: 291361
New York, NY
Past

October 30, 2002 - July 20, 2022

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
NEW YORK, NY
Past

March 9, 2002 - July 20, 2022

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 30, 1982 - March 9, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

March 16, 1979 - October 13, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

May 14, 1975 - March 21, 1979

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

July 18, 1974 - August 17, 1975

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412

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
(7/14/2022)
RR
California
(7/14/2022)
RR
Colorado
(7/14/2022)
RR
Connecticut
(7/14/2022)
RR
Delaware
(7/26/2022)
RR
District of Columbia
(7/14/2022)
RR
Florida
(7/14/2022)
RR
Georgia
(7/14/2022)
RR
Hawaii
(10/21/2022)
RR
Illinois
(7/14/2022)
RR
Indiana
(8/4/2022)
RR
Iowa
(10/17/2025)
RR
Louisiana
(7/14/2022)
RR
Maine
(7/14/2022)
RR
Maryland
(7/14/2022)
RR
Massachusetts
(7/15/2022)
RR
Michigan
(7/14/2022)
RR
Minnesota
(7/27/2022)
RR
Montana
(9/1/2022)
RR
New Jersey
(7/14/2022)
RR
New York
(7/14/2022)
IAR
New York
(7/15/2022)
RR
North Carolina
(7/14/2022)
RR
Ohio
(7/14/2022)
RR
Oregon
(10/26/2022)
RR
Pennsylvania
(7/14/2022)
RR
Puerto Rico
(7/14/2022)
RR
Rhode Island
(7/14/2022)
RR
South Carolina
(7/14/2022)
RR
South Dakota
(7/14/2022)
RR
Tennessee
(7/14/2022)
RR
Texas
(7/14/2022)
IAR
Texas
(7/14/2022)
RR
Virginia
(7/20/2022)
RR
Washington
(7/14/2022)
RR
Wisconsin
(7/14/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/21/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 6/2/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 7/16/1974
Registered Representative 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)
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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)

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#: 291361New York, NY 10111

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