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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-11-07 |
| TX | RA | APPROVED | 2025-11-06 |
Branch Locations
Marietta, GA • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-26 |
| GA | RA | APPROVED | 2020-03-03 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
Marietta, GA • 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 Smith Barney | Atlanta | GA | 04/2011 | 02/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2020 |
| Rockefeller Financial Llc | Atlanta | GA | 02/2020 | 07/2026 |
| Rock & Co Llc | Atlanta | GA | 02/2020 | 07/2026 |
| Rockefeller Financial Llc | Marietta | GA | 08/2026 | Present |
| Rockefeller Capital Management | Marietta | GA | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-26 |
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