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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 | 2025-09-19 |
| TX | RA | APPROVED | 2025-09-19 |
Branch Locations
45 Rockefeller Plaza, 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 | 2021-03-22 |
| TX | RA | APPROVED_RES | 2019-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | New York | NY | 08/2008 | 08/2019 |
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | 08/2019 |
| Rockefeller Financial Llc | New York | NY | 08/2019 | Present |
| Rockefeller Capital Management | Ny | NY | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-30 |
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