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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2025-11-06 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
1812 N Moore St Suite 1700, Arlington, VA 22209 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2023-10-09 |
| TX | RA | APPROVED | 2021-09-21 |
| DC | RA | APPROVED | 2019-10-08 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
1812 N Moore St, Suite 1700, Arlington, VA 22209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Vienna | VA | 08/2004 | 09/2019 |
| Bank Of America,N.A. | Vienna | VA | 06/2011 | 09/2019 |
| Rockefeller Financial Llc | Washington Dc | DC | 09/2019 | 10/2023 |
| Rock & Co Llc | Washington Dc | DC | 09/2019 | 10/2023 |
| Rockefeller Financial Llc | Arlington | VA | 10/2023 | Present |
| Rockefeller Capital Management | Arlington | VA | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-11 |
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