Alexander R. Norath

ROCKEFELLER FINANCIAL

Chesterfield, MO 63017

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CRD#: 7396741

Professional summary

Alexander Robert Norath, who also goes by Alexander Norath, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chesterfield, Missouri.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Alexander has worked at 4 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Alexander Norath

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 Alexander Robert Norath'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

September 10, 2026 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 16090 Swingley Ridge Road, Chesterfield, MO 63017

RIA

CRD#: 291361

Chesterfield, MO

Past

July 1, 2024 - September 8, 2026

FOCUS PARTNERS WEALTH, LLC

RIA

CRD#: 159289

CLAYTON, MO

Past

October 26, 2023 - July 1, 2024

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA

CRD#: 143323

ST LOUIS, MO

Past

May 2, 2022 - October 16, 2023

RFG ADVISORY, LLC

RIA

CRD#: 158401

CREVE COEUR, MO

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.

Highlighted states indicate IAR registrations

IAR

Missouri
(9/10/2026)

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.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 4/15/2022

Uniform Investment Adviser Law Examination

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

1,005

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 WRAP FEE BROCHURE (03.31.26) (3/31/2026)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (03.31.26) (3/31/2026)

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	95,368
AUM (Assets Under Management)	$ 99,603,487,232

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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Alexander R. Norath

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Robert Norath's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

FOCUS PARTNERS WEALTH, LLC

BUCKINGHAM STRATEGIC WEALTH, LLC

RFG ADVISORY, LLC

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 4/15/2022

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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