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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2025-08-12 |
| TX | RA | APPROVED | 2025-08-12 |
Branch Locations
Steamboat Springs, CO • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-02-19 |
| TX | RA | APPROVED | 2021-02-19 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
Steamboat Springs, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 06/1996 | 02/2021 |
| Bank Of America, N.A. | Denver | CO | 09/2009 | 02/2021 |
| Rockefeller Financial Ll | Steamboat Springs | CO | 02/2021 | Present |
| Rocekfeller Capital Management | Steamboat Springs | CO | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-19 |
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