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Rockefeller Capital Management CRD 294197
$36.8B regulatory AUM 423 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-11-06 |
| TX | RA | APPROVED | 2025-09-19 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-05-08 |
| FL | RA | APPROVED | 2023-02-23 |
| NJ | RA | APPROVED | 2019-09-23 |
| TX | RA | APPROVED_RES | 2019-09-04 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Ny | NY | 08/2008 | 08/2019 |
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | 08/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2019 |
| Rockefeller Financial Llc | New York | NY | 08/2019 | 12/2022 |
| Rockefeller Financial Llc | Boca Raton | FL | 01/2023 | 08/2025 |
| Rockefeller Financial Llc | Fort Lauderdale | FL | 09/2025 | Present |
| Rockefeller Capital Management | Fort Lauderdale | FL | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-06-30 |
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