James Banigan Casey

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

• 03/2012 → 08/2018
  Nuveen Investments
  Chicago, IL
• 08/2018 → 08/2019
  Guggenheim Funds Distributors, Llc
  Chicago, IL
• 09/2019 → 05/2020
  Alps Distributors, Inc
  Denver, CO
• 09/2019 → 07/2025
  Smead Capital Management, Inc.
  Phoenix, AZ
• 06/2020 → 07/2025
  Distribution Services, Llc
  Portland, ME
• 07/2025 → Present
  Rockefeller Capital Management
  Phoenix, AZ
• 07/2025 → Present
  Rockefeller Financial Llc
  Phoenix, AZ

Previous Registrations

• 2019-09-24 → 2025-07-16
  Smead Capital Management, Inc.
  Phoenix, AZ
• 2018-08-15 → 2019-08-26
  Guggenheim Investments
  Chicago, IL
  New York, NY
• 2012-07-05 → 2018-08-13
  Nuveen Asset Management, Llc
  Chicago, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-07-03
• S63 Uniform Securities Agent State Law Examination
  2011-02-17

Designations

• Certified Financial Planner

Other Names

• James Banigan Casey