Rajeev Rathi

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

• 10/2014 → 04/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 11/2014 → 04/2025
  Bank Of America, N.A.
  Chicago, IL
• 04/2025 → Present
  Rockefeller Capital Management
  Naples, FL
• 04/2025 → Present
  Rockefeller Financial Llc
  Naples, FL

Previous Registrations

• 2014-10-10 → 2025-04-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Naples, FL
  Dallas, TX
  Naples, FL
  Naples, FL
  Naples, FL
• 2005-06-15 → 2014-10-20
  Ubs Financial Services Inc.
  Oakbrook Terrace, IL
  Oakbrook Terrace, IL

Other Businesses

For profit or not for profit: For-Profit Organization Name of outside business organization: Medinah Country Club Investment related: N Address of business: Medinah, Illinois 60157 Nature of business: Other,Country Club Position, title, association: Committee Member, Start date of relationship: 04/25/2025 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Committee sets golf policy at Medinah country club.

Exams

• S66 Uniform Combined State Law Examination
  2005-06-14