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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-11-07 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
3060 Peachtree Road Nw Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-22 |
| GA | RA | APPROVED | 2020-02-17 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Atlanta | GA | 03/2013 | 02/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2020 |
| Rockefeller Financial Llc | Atlanta | GA | 02/2020 | Present |
| Rock & Co Llc | Atlanta | GA | 02/2020 | Present |
Hermanson Family Limited Partnership; Investment related; Atlanta, GA; Sole Proprietor / Owner / Partner; Record Keeping and payment of bills related to the FLP; 12/2012; During Business hours: 0, After Business hours: 2 Mr. Hermanson is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-11-07 |
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