Best Investors Account Sign in
Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-18
NY RA APPROVED 2025-08-22
  • TX RA
    APPROVED
    Since 2026-03-18
  • NY RA
    APPROVED
    Since 2025-08-22

Branch Locations

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-08-22
TX RA APPROVED 2025-08-22
  • NY RA
    APPROVED
    Since 2025-08-22
  • TX RA
    APPROVED
    Since 2025-08-22

Branch Locations

45 Rockefeller Plaza, New York, NY 10111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 07/2019 08/2025
Seventy2 Capital Bethesda MD 09/2018 12/2018
Bank Of America East Brunswick NJ 06/2018 08/2018
University Of Maryland: College Park College Park MD 08/2015 05/2019
Rockefeller Financial Llc New York NY 08/2025 Present
Rockefeller Capital Management New York NY 08/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-25
  • S66 Uniform Combined State Law Examination
    2022-01-25
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor