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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 | 2026-03-20 |
| TX | RA | APPROVED_RES | 2026-03-03 |
Branch Locations
320 1St Street North, Unit 703, Jacksonville Beach, FL 32250 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-01 |
| GA | RA | APPROVED | 2021-02-17 |
| FL | RA | APPROVED | 2019-01-02 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
320 1St Street North, Unit 703, Jacksonville Beach, FL 32250 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 01/2009 | 12/2018 |
| Rockefeller Financial Llc | Ponte Vedra | FL | 12/2018 | 07/2019 |
| Rockefeller Capital Management | Jacksonville Beach | FL | 02/2026 | Present |
| Rockefeller Financial Llc | Jacksonville Beach | FL | 07/2019 | Present |
Mascot Holdings LLC, 28 Fossil Road, Bog Sky, MT 59716; Investment releated; Managing Member of single-person LLC; 09/06/2020; 1 hour per month outside of trading hours; Zero hours devoted during securities trading hours; Single Person LLC that owns a vacation home
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-05-31 |
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