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Matthew D Mendoza

Matthew D. Mendoza

ROCKEFELLER FINANCIAL | Senior Vice President
Los Gatos, CA 95032
Some features on this profile are disabled
CRD#: 5460925
Matthew D Mendoza

Professional summary

Matthew D Mendoza, CPWA®, who also goes by Matthew David Mendoza, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Gatos, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Gatos, California.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Matthew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Trust & estate planning
Financial planning
Philanthropic services
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes

Aliases

Matthew David Mendoza

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 Matthew D Mendoza's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Matthew D Mendoza'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®
CPWA®

Certified Private Wealth Advisor

Start date: 2018-08-23

Expire date: 2024-07-31

Experience

Current

May 27, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032
RIA
BD
CRD#: 291361
Los Gatos, CA
Current

September 15, 2023 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032
RIA
CRD#: 294197
Los Gatos, CA
Current

May 27, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032
RIA
BD
CRD#: 291361
Los Gatos, CA
Past

April 28, 2008 - June 3, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN JOSE, CA
Past

February 15, 2008 - June 3, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN JOSE, 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
(5/27/2022)
RR
California
(5/27/2022)
IAR
California
(5/31/2022)
RR
Colorado
(5/27/2022)
RR
Delaware
(5/27/2022)
RR
Florida
(5/27/2022)
RR
Hawaii
(5/27/2022)
RR
Idaho
(5/27/2022)
RR
Illinois
(5/27/2022)
RR
Indiana
(5/27/2022)
RR
Louisiana
(5/27/2022)
RR
Massachusetts
(5/27/2022)
RR
Minnesota
(11/21/2022)
RR
Missouri
(5/27/2022)
RR
Montana
(5/27/2022)
RR
Nebraska
(4/21/2023)
RR
Nevada
(5/27/2022)
RR
New Mexico
(5/27/2022)
RR
New York
(5/27/2022)
RR
North Carolina
(5/27/2022)
RR
Ohio
(5/27/2022)
RR
Oregon
(5/27/2022)
RR
Rhode Island
(5/27/2022)
RR
South Carolina
(8/1/2025)
RR
South Dakota
(1/20/2026)
RR
Tennessee
(5/27/2022)
RR
Texas
(5/27/2022)
IAR
Texas
(5/27/2022)
RR
Washington
(5/27/2022)
RR
Wisconsin
(5/27/2022)
RR
Wyoming
(5/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2008
General Securities 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)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Senior Vice PresidentCRD#: 291361Los Gatos, CA 95032

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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