Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-07-13 |
| NY | RA | APPROVED | 2022-07-12 |
| TX | RA | APPROVED | 2022-07-12 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-17 |
| NY | RA | APPROVED | 2021-03-22 |
Branch Locations
321 Broadway, Saratoga Springs, NY 12866 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ayco Company, L.P./Mercer Allied | Saratoga Springs | NY | 04/2011 | 10/2019 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 11/2019 | Present |
| Rock & Co Llc | Saratoga Springs | NY | 11/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-11 |
Reach out to this advisor