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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-02-20 |
| TX | RA | APPROVED | 2024-02-20 |
Branch Locations
45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-07-14 |
| TX | RA | APPROVED | 2022-07-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | New York | NY | 06/2015 | 07/2022 |
| City National Bank | New York | NY | 09/2016 | 07/2022 |
| Rockefeller Financial Llc | Ny | NY | 07/2022 | Present |
| Rockefeller Capital Management | Ny | NY | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-21 |
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