Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| MA | RA | APPROVED | 2026-04-02 |
| TX | RA | APPROVED | 2026-03-13 |
Branch Locations
115 Federal St, Floor 23, Boston, MA 02110 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-09-27 |
| TX | RA | APPROVED | 2023-01-20 |
| NY | RA | APPROVED | 2021-10-19 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
115 Federal St, Floor 23, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller & Co. | New York | NY | 08/2018 | 08/2023 |
| Cambridge Associates | Boston | MA | 06/2016 | 08/2018 |
| Rockefeller Financial Llc | Boston | MA | 09/2023 | Present |
| Rockefeller Capital Management | Boston | MA | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-01-20 |
| S65 | Uniform Investment Adviser Law Examination | 2021-10-18 |
Reach out to this advisor