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April Leigh Gay

Rockefeller Capital Management

Atlanta, GA

Rockefeller Financial LLC

Atlanta, GA

CRD 4599191

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Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

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

Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-02-26
TX RA APPROVED 2024-02-22
  • GA RA
    APPROVED
    Since 2024-02-26
  • TX RA
    APPROVED
    Since 2024-02-22

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-09-22
GA RA APPROVED 2020-01-30
  • TX RA
    APPROVED_RES
    Since 2021-09-22
  • GA RA
    APPROVED
    Since 2020-01-30

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Atlanta GA 08/2014 01/2020
Rockefeller Financial Llc Atlanta GA 01/2020 Present
Rock & Co Llc Atlanta GA 01/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-13
S63 Uniform Securities Agent State Law Examination 2013-09-03
  • S66 Uniform Combined State Law Examination
    2015-04-13
  • S63 Uniform Securities Agent State Law Examination
    2013-09-03

View on SEC IAPD

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Nearby Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
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