Robert Moon: $4mm Complaint Against Moon Wealth Advisor

Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.

Mr. Moon’s BrokerCheck report discloses two investor complaints. The most recent, filed in December 2024, alleges that as a representative of Merrill Lynch, he misappropriated funds, made unauthorized trades, and executed excessive transactions. The pending complaint alleges damages of $4,490,000.

An earlier investor complaint, filed in 2006, alleged that as a Citigroup Global Markets representative, he omitted material facts regarding an investment. The complaint reached a settlement of $27,000.

Rockefeller Capital Management’s website includes a profile of Mr. Moon that describes his focus at Moon Wealth Partners, a team within the firm. “Moon Wealth Partners serves a select group of clients who demand in-depth knowledge, high touch services, and an unwavering focus on their financial priorities,” it explains. “The team was founded on the idea that families and wealth are complex, nuanced, deeply personal and deserving of a team and strategies that uniquely match their journeys and needs.”

According to the Financial Industry Regulatory Authority, Robert Moon holds 31 years of securities industry experience. Based in Bethesda, Maryland, he has been registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management since 2023. His past registrations include Merrill Lynch and Citigroup Global Markets. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 55 state licenses. (Information current as of January 18, 2025.)

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