Pedro J. Marti
ROCKEFELLER FINANCIAL LLC | Managing Director
Los Angeles, CA 90067
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CRD#: 4743730
Professional summary
Pedro Jaime Marti is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Angeles, California.
Pedro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Pedro has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Loans/credit services
Institutional consulting
Philanthropic services
Trading individual securities
Trust & estate planning
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
1M
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) CHILDREN'S BURN FOUNDATION; NOT INVESTMENT RELATED; SHERMAN OAKS, CA; FINANCE COMMITTEE MEMBER; START DATE 9/1/17; 6 HOURS PER MONTH / 0 DURING TRADING. 2) Patterson Grantor Trust, Washington Deport, CT. Investment related. Co-Trustee since December 2021. Four hours per month and one hour during trading hours. Responsible for guidance in the trust.
CRS (Client Relationship Summary) - RIA
Click below to view Pedro Jaime Marti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Pedro Jaime Marti'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
September 27, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
CRD#: 294197
Los Angeles, CA
Current
September 27, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Past
January 3, 2011 - October 2, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BEVERLY HILLS, CA
Past
January 3, 2011 - October 2, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BEVERLY HILLS, CA
Past
October 29, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BEVERLY HILLS, CA
Past
August 19, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
BEVERLY HILLS, 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
Arizona(3/10/2023)
RR
California(9/27/2019)
IAR
California(9/27/2019)
RR
Colorado(7/15/2024)
RR
Connecticut(8/17/2022)
RR
Florida(9/27/2019)
RR
Hawaii(9/30/2019)
RR
Idaho(2/28/2022)
RR
Illinois(9/27/2019)
RR
Kentucky(3/10/2023)
RR
Nevada(9/27/2019)
RR
New York(9/27/2019)
RR
North Carolina(9/27/2019)
RR
Oregon(4/7/2021)
RR
Puerto Rico(6/18/2024)
RR
Texas(9/27/2019)
IAR
Texas(9/27/2019)
IAR
Texas(2/22/2024)
RR
Washington(9/27/2019)
Exams
State Security Law 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
Managing DirectorCRD#: 291361Los Angeles, CA 90067TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
