AD
Adam W. Deal
ROCKEFELLER FINANCIAL LLC
Bethesda, MD 20814
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CRD#: 5458350
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Professional summary
Adam Wade Deal is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Bethesda, Maryland and ROCKEFELLER CAPITAL MANAGEMENT located in Bethesda, Maryland.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 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.
Name of Business: DNA Holdings LLC Address: Bethesda, MD Position: Member Nature: Investment Holding LLC/Company Start Date: 02/11/2021 Investment Related: No Number of Hours: 0 Securities Trading Hours: 0 Description: Personal contributions of capital by the LLC members to make passive investments.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Wade Deal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Wade Deal'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
January 11, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2 Bethesda Metro Center, Suite 800, Bethesda, MD 20814RIA
BD
CRD#: 291361
Bethesda, MD
Current
November 4, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2 Bethesda Metro Center Suite 800, Bethesda, MD 20814RIA
CRD#: 294197
Bethesda, MD
Current
January 11, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2 Bethesda Metro Center, Suite 800, Bethesda, MD 20814RIA
BD
CRD#: 291361
Bethesda, MD
Past
February 17, 2021 - November 15, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
WASHINGTON, DC
Past
February 17, 2021 - November 15, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WASHINGTON, DC
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
February 28, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
WASHINGTON, DC
Past
January 18, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
WASHINGTON, DC
Past
November 28, 2007 - November 10, 2010
BB&T ASSET MANAGEMENT, INC.
RIA
CRD#: 108443
RALEIGH, NC
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
Alabama(3/9/2023)
RR
California(1/11/2022)
RR
Colorado(1/11/2022)
RR
Connecticut(1/11/2022)
RR
Delaware(1/11/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(1/11/2022)
RR
Georgia(1/11/2022)
RR
Illinois(1/11/2022)
RR
Indiana(1/11/2022)
RR
Louisiana(1/11/2022)
RR
Maryland(1/11/2022)
IAR
Maryland(1/11/2022)
RR
Massachusetts(1/11/2022)
RR
Michigan(4/1/2022)
RR
Minnesota(1/11/2022)
RR
Montana(3/28/2025)
RR
New Hampshire(1/11/2022)
RR
New Jersey(1/11/2022)
RR
New York(1/11/2022)
RR
North Carolina(1/11/2022)
RR
Ohio(1/11/2022)
RR
Pennsylvania(1/11/2022)
RR
South Carolina(1/11/2022)
RR
South Dakota(7/15/2022)
RR
Texas(1/11/2022)
IAR
Texas(1/11/2022)
IAR
Texas(11/4/2025)
RR
Utah(1/11/2022)
RR
Vermont(11/21/2023)
RR
Virginia(1/11/2022)
RR
Washington(1/11/2022)
RR
West Virginia(1/11/2022)
RR
Wisconsin(4/1/2022)
RR
Wyoming(1/11/2022)
Exams
State Security Law Exam
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.
