Kenneth J. Shapiro

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → 07/2025
  Ubs Financial Services Inc
  New York, NY
• 07/2025 → Present
  Rockefeller Financial Llc
  Ny, NY
• 07/2025 → Present
  Rockefeller Capital Management
  Ny, NY

Previous Registrations

• 2021-10-26 → 2025-07-28
  Ubs Financial Services Inc.
  New York, NY
  New York, NY
  Westport, CT
• 2002-09-18 → 2009-01-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY

Other Businesses

BREAKBIO; Non investment related; 333 SE 2nd Avenue, Suite 2000, Miami, FL 33131; Biotech start-up company to cure solid tumor cancers; Co-founder/Non-executive advisor; 2019; Intermittently involved as non-investment related questions arise where I can be helpful. Rock Prom LLC; Investment related; Greenwich, CT; 1 of 4 Members of the LLC; 05/08/2026; 0 hours a month and 0 hours during trading hours; LLC to be used for investments.

Exams

• S66 Uniform Combined State Law Examination
  2002-09-13

Other Names

• Kenneth James Shapiro