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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 | 2026-08-11 |
| TX | RA | APPROVED | 2026-08-11 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-12-15 |
| TX | RA | APPROVED | 2025-12-15 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 03/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 12/2025 |
| Rockefeller Financial Llc | New York | NY | 12/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-14 |
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