Shaun Michael Van Vliet

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

• 05/1996 → 01/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2009 → 01/2017
  Bank Of America, N.A.
  New York, NY
• 01/2017 → 04/2017
  First Republic Investment Management, Inc.
  New York, NY
• 01/2017 → 04/2017
  First Republic Securities Company, Llc
  New York, NY
• 04/2017 → 04/2023
  First Republic Securities Company, Llc
  New York, NY
• 04/2017 → 04/2023
  First Republic Investment Management, Inc.
  New York, NY
• 04/2023 → Present
  Rockefeller Financial Llc
  Ny, NY
• 02/2024 → Present
  Rockefeller Capital Management
  New York, NY

Previous Registrations

• 2017-01-20 → 2023-05-16
  J.P. Morgan Private Wealth Advisors Llc
  New York, NY
  San Francisco, CA
• 1996-05-20 → 2017-01-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY

Other Businesses

1) Client's Trust Account Investment-Related: Yes Position/ Title: Trustee Duties: Mr. Van Vliet acts in the capacity of trustee for a client account.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-01-31
• S63 Uniform Securities Agent State Law Examination
  1993-12-22

Designations

• Certified Financial Planner

Other Names

• Shaun Vanvliet
• Shaun Michael Vanvliet