SW
Seth A. Wheeler
ROCKEFELLER CAPITAL MANAGEMENT
CHARLOTTE, NC 28209
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CRD#: 7257869
SW
Professional summary
Seth Alton Wheeler is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Charlotte, North Carolina and ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Seth has worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Alton Wheeler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Alton Wheeler'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
November 14, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209RIA
CRD#: 294197
CHARLOTTE, NC
Current
November 14, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
November 14, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
November 7, 2025 - November 26, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
CHARLOTTE, NC
Past
May 12, 2021 - November 26, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CHARLOTTE, 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(11/14/2025)
RR
Alaska(11/14/2025)
RR
Arizona(11/14/2025)
RR
California(11/14/2025)
RR
Colorado(11/14/2025)
RR
Connecticut(11/14/2025)
RR
District of Columbia(11/14/2025)
RR
Florida(11/14/2025)
RR
Georgia(11/14/2025)
RR
Hawaii(11/14/2025)
RR
Idaho(11/14/2025)
RR
Illinois(11/14/2025)
RR
Indiana(11/14/2025)
RR
Kansas(11/14/2025)
RR
Kentucky(11/14/2025)
RR
Louisiana(11/14/2025)
RR
Maine(11/14/2025)
RR
Maryland(11/14/2025)
RR
Missouri(11/14/2025)
RR
Nebraska(11/14/2025)
RR
New Hampshire(11/14/2025)
RR
New Jersey(11/14/2025)
RR
New York(11/14/2025)
RR
North Carolina(11/14/2025)
IAR
North Carolina(11/14/2025)
RR
Ohio(11/14/2025)
RR
Pennsylvania(11/14/2025)
RR
South Carolina(11/14/2025)
RR
Texas(11/14/2025)
IAR
Texas(11/14/2025)
RR
Utah(11/14/2025)
RR
Virginia(11/14/2025)
RR
Washington(11/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/14/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/12/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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#: 291361Charlotte, NC 28209TRUST BUT VERIFY
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