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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-05 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
1838 Sir Tyler Drive Suite 102, Wilmington, NC 28405 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-29 |
| TX | RA | APPROVED_RES | 2023-09-15 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405 • 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 | Wilmington | NC | 10/2013 | 09/2023 |
| Rockefeller Financial Llc | Wilmington | NC | 09/2023 | Present |
| Rockefeller Capital Management | Wilmington | NC | 11/2025 | Present |
1) UNIVERSITY OF NORTH CAROLNA WILMINGTON FOUNDATION; 601 South College Rd, Wilmington, NC 28405, US/ Education/ connecting memebrs to the community to UNCW and presiding over the assets of the foundation Lead the board meetings, represent the foundation and university at community events; Authority to make investment decisions?: yes/ start date: 7/1/2019 2)LANDFALL FOUNDATION / investment related/ no / Sun Runner Place, Wilmington, NC 28405/ Awards grants to small charities in the community/Officer; Treasurer/start date 1/1/2021/ Business hours per month: Yes, 2 hours per month for meetings 3) University of North Carolina at Wilmington Endowment Fund/ 601 South College Rd, Wilmington, NC 28405, US; The committee oversees the management of the University's endowment. We do not directly manage the investments. They are managed by UNC Management Co./ Review investment performance and give guidance to the University's Board of Trustees/ start date: 11/1/2021 4) Jedi Properties LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Member of the LLC. 10/20/2023. 1 hour per month and half an hour during trading hours. Leasing entity for the team's office and to paid rent. 5) 3RockNC LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Managing member of LLC. 10/23/2023. 1 hour per month and half an hour during trading hours. ember of LLC that holds title to commercial property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-14 |
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