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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 | 2025-08-15 |
| TX | RA | APPROVED | 2025-08-15 |
Branch Locations
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-01 |
| CA | RA | APPROVED | 2021-04-30 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Weehawken | NJ | 06/2017 | 04/2021 |
| Postmates | San Francisco | CA | 06/2015 | 06/2017 |
| Rockefeller Capital Management | Newporit Beach | CA | 04/2021 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-15 |
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