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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-09-19 |
| TX | RA | APPROVED | 2025-09-19 |
Branch Locations
45 Rockefeller Plaza, Ny, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-03 |
| NY | RA | APPROVED | 2021-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | 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 | Present |
| Rock & Co Llc | New York | NY | 08/2019 | Present |
FP Management; Investment related; Westport, CT; Secretary; 12/02/2025; 1 hour a month and 0 hours during trading hours; Entity used for investments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-22 |
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