Joshua F. Murray

ROCKEFELLER FINANCIAL LLC

Mountain View, CA 94040

Some features on this profile are disabled

CRD#: 6456176

Professional summary

Joshua Ford Murray, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Mountain View, California and ROCKEFELLER CAPITAL MANAGEMENT located in Mountain View, California.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joshua has worked at 7 firms and has passed the Series 66, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Ford Murray's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joshua Ford Murray'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®

CFP^®

Certified Financial Planner

Experience

Current

July 10, 2020 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2570 W. El Camino Real, Mountain View, CA 94040

RIA

CRD#: 291361

Mountain View, CA

Current

August 11, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 2570 W. El Camino Real Suite 520, Mountain View, CA 94040

RIA

CRD#: 294197

Mountain View, CA

Current

May 20, 2020 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2570 W. El Camino Real, Mountain View, CA 94040

RIA

CRD#: 291361

Mountain View, CA

Past

March 11, 2019 - June 3, 2020

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

New York, NY

Past

March 6, 2019 - June 3, 2020

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

Boston, MA

Past

November 21, 2017 - January 28, 2019

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

SARATOGA SPRINGS, NY

Past

November 20, 2017 - January 28, 2019

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

SARATOGA SPRINGS, NY

Past

June 18, 2015 - October 16, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

TYSONS CORNER, VA

Past

June 4, 2015 - October 16, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

TYSONS CORNER, VA

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
(1/26/2025)

California
(5/29/2020)

IAR

California
(11/16/2023)

Connecticut
(5/29/2020)

Delaware
(5/29/2020)

Florida
(5/29/2020)

Georgia
(5/29/2020)

Idaho
(1/26/2025)

Massachusetts
(5/20/2020)

Nevada
(5/29/2020)

New York
(5/20/2020)

IAR

New York
(8/5/2021)

Pennsylvania
(5/29/2020)

South Carolina
(5/29/2020)

Texas
(5/29/2020)

IAR

Texas
(8/5/2021)

Utah
(5/29/2020)

Washington
(5/29/2020)

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: 6/18/2015

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: 6/4/2015

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua F. Murray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Ford Murray's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joshua Ford Murray's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER CAPITAL MANAGEMENT

ROCKEFELLER FINANCIAL LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2015

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2015

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

Similar Advisors