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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-10 |
| TX | RA | APPROVED | 2023-10-10 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-03-11 |
| TX | RA | APPROVED_RES | 2021-03-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Los Angeles | CA | 06/2009 | 03/2021 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 03/2021 |
| Rockefeller Financial Llc | Los Angeles | CA | 03/2021 | 07/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 03/2021 |
| Rockefeller Financial Llc | Calabasas | CA | 08/2026 | Present |
| Rockefeller Capital Management | Calabasas | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-30 |
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