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Matthew Ryan Gallup

Rockefeller Capital Management

Saratoga Springs, NY

Rockefeller Financial LLC

Saratoga Springs, NY

Chicago, IL

CRD 7066492

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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
NY RA APPROVED 2024-03-28
TX RA APPROVED 2024-03-28
  • NY RA
    APPROVED
    Since 2024-03-28
  • TX RA
    APPROVED
    Since 2024-03-28

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-02-01
TX RA APPROVED 2021-02-01
  • NY RA
    APPROVED
    Since 2021-02-01
  • TX RA
    APPROVED
    Since 2021-02-01

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • 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
The Ayco Company, L.P./Mercer Allied Latham NY 01/2019 03/2020
Kpmg Llp Albany NY 08/2016 12/2018
Rockefeller Financial Llc Saratoga NY 03/2020 Present
Rock & Co Llc Saratoga NY 03/2020 01/2024
Rockefeller Capital Management Saratoga Springs NY 03/2024 Present
  • 01/2019 → 03/2020
    The Ayco Company, L.P./Mercer Allied
    Latham, NY
  • 08/2016 → 12/2018
    Kpmg Llp
    Albany, NY
  • 03/2020 → Present
    Rockefeller Financial Llc
    Saratoga, NY
  • 03/2020 → 01/2024
    Rock & Co Llc
    Saratoga, NY
  • 03/2024 → Present
    Rockefeller Capital Management
    Saratoga Springs, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-21
  • S66 Uniform Combined State Law Examination
    2019-03-21
Other Names
  • Matthew Gallup

View on SEC IAPD

Nearby Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC

Nearby Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN

Nearby Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY

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