Mia L. Cardwell

ROCKEFELLER FINANCIAL LLC

Oak Brook, IL 60523

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CRD#: 2864638

Professional summary

Mia Lynn Cardwell, CFP®, who also goes by Mia Brandon, Mia Cannon, Mia Lynn Carlson Cardwell, Mia Lc Erickson, Mia Lynn Carlson Erickson, Mia Lynne Carlson Erickson, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Oak Brook, Illinois and ROCKEFELLER CAPITAL MANAGEMENT located in Westfield, Indiana.

Mia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mia has worked at 8 firms and has passed the Series 63, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Two rental properties in Florida; 3176 Windrush Bourne, #26, Sarasota, FL; 1564 Napoli Dr. West, Sarasota, FL; Owner/Landlord; start date 12/5/2017; is investment-related; 1 hour per month, none during trading hours; rental income. One rental property in Florida; 6950 W. Country Club Dr., North, Sarasota, FL 34243; started 3/20/18; is investment-related; 2 hours per month, none during trading hours; rental income.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mia Lynn Cardwell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mia Lynn Cardwell'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

March 1, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 701 Harger Road, Suite 210, Oak Brook, IL 60523

RIA

CRD#: 291361

Oak Brook, IL

Current

August 20, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

RIA

CRD#: 294197

Westfield, IN

Current

September 27, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 701 Harger Road, Suite 210, Oak Brook, IL 60523

RIA

CRD#: 291361

Oak Brook, IL

Past

October 1, 2007 - March 16, 2021

WHITNELL & CO

RIA

CRD#: 104633

OAK BROOK, IL

Past

December 16, 2005 - April 5, 2006

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

December 16, 2005 - April 5, 2006

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

March 4, 2004 - December 31, 2005

HARRISDIRECT LLC

RIA

CRD#: 42159

CHICAGO, IL

Past

January 6, 2004 - March 9, 2004

SBSB FINANCIAL ADVISORS

RIA

CRD#: 109732

CHICAGO, IL

Past

May 1, 2002 - December 31, 2005

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

March 21, 2002 - January 14, 2004

HARRISDIRECT LLC

RIA

CRD#: 42159

CHICAGO, IL

Past

November 6, 2001 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

March 21, 1997 - February 16, 1999

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/13/2023)

California
(2/13/2023)

Colorado
(2/13/2023)

Florida
(2/13/2023)

Georgia
(2/13/2023)

IAR

Illinois
(3/1/2021)

Illinois
(10/21/2022)

IAR

Indiana
(3/1/2021)

Indiana
(12/9/2022)

Iowa
(2/13/2023)

Kentucky
(2/13/2023)

Michigan
(2/13/2023)

Montana
(10/17/2023)

New Jersey
(2/13/2023)

North Carolina
(2/13/2023)

Ohio
(2/13/2023)

Oregon
(12/6/2024)

Pennsylvania
(2/13/2023)

South Carolina
(2/13/2023)

IAR

Texas
(3/1/2021)

Texas
(2/13/2023)

Wisconsin
(2/13/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/21/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/26/2022

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 3/20/1997

General Securities Representative Examination

SRO Registrations

FINRA

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

824

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 ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

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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Firm Stability Insights

Mia L. Cardwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mia Lynn Cardwell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mia Lynn Cardwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER CAPITAL MANAGEMENT

ROCKEFELLER FINANCIAL LLC

WHITNELL & CO

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

HARRISDIRECT LLC

SBSB FINANCIAL ADVISORS

HARRISDIRECT LLC

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2022

Series 7TO

Date: 9/26/2022

Series 7

Date: 3/20/1997

FINRA

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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