Adviser and broker representative · Rockefeller Financial LLC
Nick M. Bapis
CRD 11962 · Salt Lake City, UT
At a glance
Nick M. Bapis is an investment adviser representative with Rockefeller Financial LLC in Salt Lake City, UT, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Nick’s SEC record dates to 1991, about 34 years ago. Nick is also registered as a broker representative.
Current advisory firms
- Rockefeller Financial LLCSince June 2019Salt Lake City, UT · $100B in regulatory assets
- Rockefeller Capital ManagementSince December 2024Salt Lake City, UT · $37B in regulatory assets
SEC adviser record
- Registered since
- 1991 (34 years)
- Designations
- None on file
- Exams
- Series 63
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Nick’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 3 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.