John Frederick Embleton

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2008 → 01/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Atlanta, GA
• 05/2011 → 01/2019
  Bank Of America, N.A.
  Atlanta, GA
• 01/2019 → Present
  Rockefeller Financial Llc
  Atlanta, GA
• 11/2025 → Present
  Rockefeller Capital Management
  Atlanta, GA

Previous Registrations

• 2008-10-31 → 2019-01-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Atlanta, GA
  Cherry Log, GA
  Atlanta, GA
• 2007-04-02 → 2008-11-04
  Morgan Stanley & Co. Llc
  Atlanta, GA
• 2003-02-25 → 2007-04-02
  Morgan Stanley Dw Inc.
  Atlanta, GA
  Atlanta, GA

Other Businesses

Since January of 1998, Mr. Embleton has served as on the arbitration panel of the New York Stock Exchange located at 20 Broad St. New York, NY, 10005. Mr. Embleton's job duties include, but are not limited to, participating and hearing arbitration cases. Mr. Embleton devotes one hour per month to this business and this hour takes place takes place during securities trading hours. Since January 2007, Mr. Embleton has served as Scout Master at Boy Scouts of America located in Atlanta, GA. Mr. Embleton's job duties include, but are not limited to, youth guidance and performing Boy Scout troop activities. Mr. Embleton devotes 10 hours a month to this business of which none of the 10 hours take place during securities trading hours. Since January 2011 Mr. Embleton has served as a board member of a homeowners association called the Little Rock Creek Lane Home Owners Association located in Cherry Log, GA. Mr. Embleton's job duties include, but are not limited to making board decisions for the maintenance and upkeep of the neighborhood. Mr. Embleton devotes two hours per month to this business of which none take place during securities trading hours. Mr. Embleton is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. On 11.1.19, John Embleton formed Foxtrot Echo LLC. The entity conducts zero activity- It is simply a liability shell company strictly opened for the ownership of an aircraft that he recently purchased for personal use. John's duties within this LL is to manage expenses associated with the maintenance of the aircraft. John is 100% owner of this for-profit entity. It is a noncompensated position, which he will spend approximately 1 hour per month on. There are no Rockefeller clients associated with this OBA. Since January 6, 2022, John Embleton became the owner of Silver King LLC, 1120 Balmoral Rd NE, Sandy Springs, GA 30319. The entity will be used as a holding company to make an investment in EyeWatch Live LLC. John's duties within this LLC are to file tax returns. John is 100% owner of this for-profit entity. It is a noncompensated position, which he will spend approximately 1 hour per month on. NSCA Certified Sporting Clays Instructor; Non-investment related; Sandy Springs, GA; Sporting Clays Instructor; 09/07/2025; 2 hours a month and 0 hours during trading hours. Instructions given on sporting clay shooting.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-07-07
• S63 Uniform Securities Agent State Law Examination
  1992-09-10