TW
Todd M. Walters
ROCKEFELLER FINANCIAL LLC
Winter Park, FL 32789
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CRD#: 4823763
TW
Professional summary
Todd Matthew Walters is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida and ROCKEFELLER CAPITAL MANAGEMENT located in Winter Park, Florida.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Todd has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
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.) NEW VERNON FINANCIAL, LLC; INVESTMENT RELATED; NEW VERNON, NJ; OWNER AND OFFICER OF BUSINESS CONSULTING AND MANAGEMENT FIRM, HOLDING COMPANY OF INVESTMENTS; MANAGING PARTNER RESPONSIBLE FOR OVERSEEING VARIOUS INVESTMENTS IN BUSINESSES, MANAGING THOSE BUSINESSES TO MAXIMIZE THE RETURN ON INVESTMENT AND CONSULT TO THOSE BUSINESSES AND OTHERS WHEN NECESSARY OR ENGAGED TO DO SO. RESPONSIBLE FOR THE DAY TO DAY OPERATIONS; SINCE 11/2008; DEVOTE 5% OF TIME/WEEK. 2.) SPEARHEAD CAPITAL ADVISORS, LLC; WELLINGTON, FL 33414; INVESTMENT RELATED; SINCE 7/2013; REGISTERED INVESTMENT ADVISOR; CEO AND MANAGING MEMBER; DEVOTE 50% OF TIME/WEEK. 3.) SPEARHEAD SPECIAL OPPORTUNITIES, LLC; 12012 SOUTH SHORE BLVD., SUITE 112, WELLINGTON, FL; SINCE 02/2018; OWNER AND MANAGING MEMBER OF COMPANY; INVESTMENT EVALUATION AND DUE DILIGENCE; DEVOTES LESS THAN 1 HOUR PER WEEK. 4.) NFC, LLC; 3420 FAIRLANE FARMS RD, WELLINGTON, FL; NOT INVESTMENT-RELATED; SINCE 3/2015; PARTNER; EVALUATE BUSINESS OPPORTUNITIES; DEVOTE 1% OF TIME/WEEK. 5.) AGILE INSURANCE SOLUTIONS, LLC; CHARLESTOWN, MA; INVESTMENT RELATED; SINCE 9/2021; EQUITY OWNER & MANAGING MEMBER; LIFE SETTLEMENT PROVIDER THAT ORIGINATES LIFE INSURANCE POLICIES FOR PURCHASE FOR SPEARHEAD LS FACILITY, LLC; OVERSEE STRATEGY & STRUCTURE; <10 HOURS/MONTH. 6.) JTB Equities, LLC; New Vernon, NJ; Investment-Related; Since 1/2022; Managing Member; LLC formed for the purpose of making a private investment; Devote less than 5 hrs/month to this activity. 7.) Erudite Cria Inc., 3420 Pump Rd, Henrico VA 23233. Investment related. Erudite Cria Inc. is the general partner of Infinite Acquisitions LLLP which is a holding company for private businesses. Board member since January 2023. I spend two hours a month to the entity and zero hours during trading hours. My role is to sit on the Board and help make financial decisions around the private companies investments and how to maximize the balance sheet of Infinite Acquisitions. 8.) Spearhead Strategic Partners, LLC; Investment related. 12012 South Shore Blvd, Suite 112, Wellington, FL 33414; Holding Co for Equity investments in RIAS & Other Inv; Managing Member; 02/07/2012; 8 hours a month and 0 hours during trading hours; Oversee the administrative aspects of the business and provide direction and guidance to the underlying companies.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Matthew Walters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd Matthew Walters'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
June 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Current
October 9, 2023 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
CRD#: 294197
WINTER PARK, FL
Current
June 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Past
June 13, 2017 - June 30, 2022
SPEARHEAD CAPITAL ADVISORS, LLC
RIA
CRD#: 161131
WELLINGTON, FL
Past
December 12, 2011 - June 30, 2022
SPEARHEAD CAPITAL, LLC
BD
CRD#: 145560
Wellington, FL
Past
April 3, 2009 - December 7, 2011
PACIFIC CENTURY SECURITIES, LLC
BD
CRD#: 131607
NEW YORK, NY
Past
November 30, 2007 - July 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 12, 2004 - July 25, 2006
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
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
California(6/1/2022)
RR
Colorado(6/1/2022)
RR
Connecticut(6/1/2022)
RR
Delaware(6/1/2022)
RR
Florida(6/1/2022)
IAR
Florida(9/15/2022)
RR
Georgia(6/1/2022)
RR
Illinois(6/1/2022)
RR
Massachusetts(6/1/2022)
RR
Michigan(3/8/2023)
RR
Nevada(6/1/2022)
RR
New Jersey(6/1/2022)
IAR
New Jersey(6/9/2022)
RR
New Mexico(6/21/2022)
RR
New York(6/1/2022)
RR
Ohio(10/10/2025)
RR
Pennsylvania(6/1/2022)
RR
Rhode Island(6/21/2022)
RR
South Carolina(6/1/2022)
RR
Texas(6/1/2022)
IAR
Texas(6/1/2022)
RR
Vermont(1/22/2025)
RR
Virginia(6/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
CRD#: 291361Winter Park, FL 32789TRUST BUT VERIFY
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