Full text of ROCKEFELLER FINANCIAL LLC's X-17A-5 filed 2026-02-24 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ROCKEFELLER FINANCIAL LLC SEC I.D. No. 8-70054 # STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2025 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a Public Document. {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-70054 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2025** AND ENDING 12/31/2025 --------- MM/DD/YY MM/DD/YY | A. REGISTRANT IDENTIFICATION | | |-----------------------------------------|--| | NAME oF FIRM: Rockefeller Financial LLC | | TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 45 Rockefeller Plaza | | (No. and Street) | | | | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------|-------------------------------------------|--|--|--| | New York | NY | | 10111 | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Deirdre Patten | 281-419-6030 | DPatten@rockco.com | | | | | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | Deloitte & Touche LLP<br>(Name - if individual, state last, first, and middle name) | | | | | | | | 30 Rockefeller Plaza | New York | NY | 10112 | | | | | (Address)<br>10/20/2003 | (City) | (State)<br>#34 | (Zip Code) | | | | | rte of Reg;suaUoo wrth PCAOB)l;f appHcable) | | | (PCAOB Reg;,u,uoo N,mbe,, ;t appHcable) I | | | | | | FOR OFFICIAL USE ONLY | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Per…Read the full text as markdown