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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-05 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
5605 Carnegie Blvd Suite 220, Charlotte, NC 28209 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-11 |
| NC | RA | APPROVED | 2023-12-04 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 02/2021 | 11/2023 |
| Bank Of America, N.A. | Charlotte | NC | 08/2011 | 02/2021 |
| Rockefeller Financial Llc | Charlotte | NC | 11/2023 | Present |
| Rockefeller Capital Management | Charlotte | NC | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-07 |
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