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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-12 |
| TX | RA | APPROVED | 2025-08-12 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-06 |
| TX | RA | APPROVED | 2023-10-06 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Santa Monica | CA | 12/2014 | 03/2018 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 03/2018 | 10/2023 |
| Rockefeller Financial Llc | Los Angeles | CA | 10/2023 | Present |
| Rockefeller Capital Management | Los Angeles | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-08-05 |
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