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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-11 |
| TX | RA | APPROVED_RES | 2025-06-27 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-07 |
| TX | RA | APPROVED_RES | 2025-06-27 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Aventura | FL | 02/2013 | 06/2025 |
| Rockefeller Financial Llc | Fort Lauderdale | FL | 06/2025 | Present |
| Rockefeller Capital Management | Fort Lauderdale | FL | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-11 |
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