Advisor at Rockefeller Financial LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Rockefeller Financial LLC
Location
Mesquite, NV
Credentials
Series 63, Series 65
Industry experience
26 years
Anne Norwood is a financial advisor with Rockefeller Financial LLC, holding Series 63 and Series 65 credentials and bringing 26 years of industry experience. She worked at Morgan Stanley Smith Barney for 15 years before joining Rockefeller Financial in 2024. Rockefeller Financial LLC serves ultra-high and high-net-worth individuals, families, family offices, charities, corporations, and retirement plans, offering wealth management, financial planning, portfolio management, and retirement plan consulting. The firm provides integrated services through affiliated trust and insurance entities and is noted for its recapitalized ownership structure and its role as a distributor and placement agent for private funds and access vehicles.
Based on Rockefeller Financial LLC
Based on Rockefeller Financial LLC
Flat fees charged for certain financial planning reports and analyses
$0+: up to 2% annually for Non-Discretionary Investment Advisory and Consulting Services $0+: up to 1.25% annually for Retirement Plan Services (asset-based fee) $0+: up to 0.60% annually for Rockefeller Personalized Portfolios program fee (based on average daily balance)
Commission or transaction-based compensation for brokerage services and distribution fees/placement fees for certain alternative investments
Hourly rates charged for financial planning services, if applicable
Minimum fee: No minimum fee for Non-Discretionary Investment Advisory and Consulting Services; $5,000 minimum annual fee for Retirement Plan Services Fee-only: Flat fees or hourly fees for Financial Planning Services, negotiable and vary based on scope
Mesquite, NV
Nevada · South Carolina · Texas
Rockefeller Financial LLC
2024 - Present (2 years)
Morgan Stanley Smith Barney
2009 - 2024 (15 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Mesquite, NV
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CFP®, ChFC®, Series 63, Series 65
Mesquite, NV
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