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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-08-15 |
| TX | RA | APPROVED | 2025-08-14 |
Branch Locations
Max At Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2020-10-08 |
| TX | RA | APPROVED | 2020-08-21 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Max At Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Scottsdale | AZ | 04/2013 | 08/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2020 |
| Rockefeller Financial Llc | Los Angeles | CA | 08/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2020 | 08/2020 |
| Rockefeller Capital Management | Scottsdale | AZ | 08/2025 | Present |
1. The Greater Phoenix Urban League; Non-Investment related; Phoenix, AZ; Non-Profit Board Member; Start Date: January 2017; During business hours: 0; After business hours: 5
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-11 |
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