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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 |
|---|---|---|---|
| UT | RA | APPROVED | 2025-09-15 |
| TX | RA | APPROVED | 2025-08-15 |
Branch Locations
Heber City, UT • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2023-01-27 |
| CA | RA | APPROVED | 2021-04-30 |
| TX | RA | APPROVED | 2021-04-30 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Heber City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Newport Beach | CA | 05/2011 | 04/2021 |
| Rockefeller Financial Llc | Los Angeles | CA | 04/2021 | 01/2023 |
| Rockefeller Financial Llc | Heber City | UT | 01/2023 | 04/2024 |
| Rockefeller Financial Llc | Newport Beach | CA | 04/2024 | 07/2024 |
| Rockefeller Capital Management | Heber City | UT | 08/2025 | Present |
| Rockefeller Financial Llc | Heber City | UT | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-05 |
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