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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-03-18 |
| TX | RA | APPROVED | 2024-08-07 |
Branch Locations
227 West Monroe, Suite 2050, Chicago, IL 60606 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-02-27 |
| IL | RA | APPROVED | 2020-10-14 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 07/2015 | 10/2017 |
| Jpmorgan Chase Bank Na | Chicago | IL | 10/2017 | 04/2019 |
| Jpmorgan Securities Llc | Chicago | IL | 10/2017 | 04/2019 |
| Charles Schwab & Co., Inc. | Chicago | IL | 04/2019 | 09/2020 |
| Charles Schwab Bank | Chicago | IL | 04/2019 | 09/2020 |
| Rockefeller Financial Llc | Chicago | IL | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-06 |
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