Boaz Y. Chan

ROCKEFELLER FINANCIAL LLC

Los Gatos, CA 95032

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CRD#: 4888435

Professional summary

Boaz Yu Sam Chan, who also goes by Boaz Yu Sam Chan, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Gatos, California.

Boaz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Boaz has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Boaz Yu Sam Chan

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 Boaz Yu Sam Chan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Boaz Yu Sam Chan'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

May 11, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032

RIA

CRD#: 291361

Los Gatos, CA

Current

May 11, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032

RIA

CRD#: 291361

Los Gatos, CA

Past

April 19, 2022 - April 26, 2022

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

Palo Alto, CA

Past

April 18, 2022 - April 26, 2022

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

Palo Alto, CA

Past

October 26, 2012 - May 11, 2022

MORGAN STANLEY

RIA

CRD#: 149777

LOS GATOS, CA

Past

October 26, 2012 - May 11, 2022

MORGAN STANLEY

CRD#: 149777

LOS GATOS, CA

Past

August 7, 2009 - October 29, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CAMPBELL, CA

Past

July 30, 2009 - October 29, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CAMPBELL, CA

Past

November 20, 2007 - July 31, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN JOSE, CA

Past

November 20, 2007 - July 31, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN JOSE, CA

Past

March 22, 2007 - November 27, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

LA JOLLA, CA

Past

October 19, 2005 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

August 5, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 5, 2005 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN DIEGO, 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".

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)

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.

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

Arizona
(5/11/2022)

California
(5/11/2022)

IAR

California
(5/11/2022)

Colorado
(5/11/2022)

Connecticut
(5/11/2022)

Delaware
(5/11/2022)

District of Columbia
(5/11/2022)

Florida
(5/11/2022)

Georgia
(5/11/2022)

Hawaii
(5/11/2022)

Illinois
(5/11/2022)

Indiana
(5/11/2022)

Kentucky
(5/11/2022)

Maryland
(5/11/2022)

Massachusetts
(5/11/2022)

Missouri
(5/11/2022)

Nevada
(5/11/2022)

New Mexico
(5/11/2022)

New York
(5/11/2022)

North Carolina
(5/11/2022)

Ohio
(5/11/2022)

Oklahoma
(3/9/2023)

Oregon
(5/11/2022)

Texas
(5/11/2022)

IAR

Texas
(5/11/2022)

Utah
(5/11/2022)

Virginia
(5/11/2022)

Washington
(3/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Boaz Y. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Boaz Yu Sam Chan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Boaz Yu Sam Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2005

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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