This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

ROCKEFELLER CAPITAL MANAGEMENT

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

May 16, 2003earliest registration or exam on IAPD

Years in industry

23derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

May 16, 2003

First registration

Oct 18, 2005

Dual registered

yes, broker-dealer

Other names

LANDON SMITH

IAPD individual key

4647286

• Occurred

  Jan 24, 2023
  Advisor changed firm

  David Landon Smith left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2023-01-13)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:fef5d0a1-1884-ccc2-fd51-b8878b08a32e

First observed

Oct 18, 2005

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.