Michael Nicholas Bapis

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

Authority	Category	Status	Date
NY	RA	APPROVED	2024-12-18
TX	RA	APPROVED	2024-12-18

NY RA
APPROVED

Since 2024-12-18
TX RA
APPROVED

Since 2024-12-18

Branch Locations

45 Rockefeller Plaza Floor 5, Ny, NY 10111 • United States

Rockefeller Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-10-01
NY	RA	APPROVED	2021-09-30

TX RA
APPROVED_RES

Since 2021-10-01
NY RA
APPROVED

Since 2021-09-30

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

Organization	City	State	From	To
Hightower Securities, Llc	New York	NY	11/2008	09/2018
Hightower Advisors, Llc	New York	NY	11/2008	09/2018
Axiom Capital Management, Inc.	New York	NY	09/2018	05/2019
Rockefeller Financial Llc	New York	NY	05/2019	Present
Rock & Co Llc	New York	NY	05/2019	Present

11/2008 → 09/2018

Hightower Securities, Llc

New York, NY
11/2008 → 09/2018

Hightower Advisors, Llc

New York, NY
09/2018 → 05/2019

Axiom Capital Management, Inc.

New York, NY
05/2019 → Present

Rockefeller Financial Llc

New York, NY
05/2019 → Present

Rock & Co Llc

New York, NY

Previous Registrations

2008-11-07 → 2018-09-12

Hightower Advisors, Llc

Chicago, IL

New York, NY
2007-04-02 → 2008-11-13

Morgan Stanley & Co. Llc

New York, NY
1999-05-24 → 2007-04-02

Morgan Stanley Dw Inc.

New York, NY

Salt Lake City, UT

Salt Lake Cy, UT

Other Businesses

01/01/09 - LEADERSHIP 100 CHARITY, BOARD MEMBER (NON INVESTMENT RELATED ENDOWMENT FUND RECENTLY RENAMED THE ARCHBISHOP IAKOVOS LEADERSHIP 100 ENDOWMENT FUND) DISPURSES GRANTS RANDING FROM SCHOLARSHIP FUNDS FOR INDIVIDUALS STUDYING FOR THE PRIESTHOOD, BUILDING AN INFRASTRUCTURE AND INTERNET MINISTRIES FOR THE ARCHDIOCESE, PROMOTING THE NATIONAL MINISTRIES AND PROVIDING ASSISTANCE TO EMERGENCIES SUCH AS SEPT. 11, HURRICANE KATRINA, EARTHQUAKES AND MEDICAL NEEDS. 15 HRS/OUTSIDE BUSINESS HOURS PER MONTH, NON-COMPENSATED POSITION 11/2010 - PERCENTAGE OWNER OF FISH TAG RESTAURANT, NEW YORK CITY. NON-INVESTMENT RELATED BUSINESS. REP. SPENDS 0 HOURS PER MONTH, 0 HOURS DURING TRADING ON BUSINESS. 3/2018- Member of advisory board for CAIS. Advisory bard for CAIS funds. No compensation received, no financial interest in OBA, 3 hrs per month devoted to OBA and 0 during trading hours. Mr. Bapis is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. For Five Coffee; Investment related; 117 West 46th Street, New York, NY 10036; Board Member; 04/30/2026; 12 hours a month and 0 hours during trading hours; Assist in accelerating the brand, wholesale & retail.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-29
S63	Uniform Securities Agent State Law Examination	1998-07-23

S65 Uniform Investment Adviser Law Examination

1999-01-29
S63 Uniform Securities Agent State Law Examination

1998-07-23

Other Names

Michael Bapis

View on SEC IAPD