Riley Alexander Stephenson

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

• 06/2015 → 09/2023
  Ubs Financial Services Inc.
  Wilmington, NC
• 09/2023 → Present
  Rockefeller Financial Llc
  Wilmington, NC
• 11/2025 → Present
  Rockefeller Capital Management
  Wilmington, NC

Previous Registrations

• 2015-12-03 → 2023-09-26
  Ubs Financial Services Inc.
  Wilmington, NC

Other Businesses

1) StepUp Wilmington / 20 North 4th Street, Suite 430 Wilmington,NC 28401 / Charity/ Charity / Individualized job training and development / Member of Board of directors / / Organizing fundraising events. / Start Date 2/19/2019 / 2) Mosley Performance Learning Center / 3702 Princess Place Drive Wilmington,NC 28405 / Educational Establishment/ Education / High shcool / Advisor or advisory group member if advice given may influence an officer/board / / Provide advice and guidance to the staff of Mosley Performance Learning Center as to how the National Academy of Finance program should be structured. / Start Date 3/1/2019 / 3) UNCW Alumni Association / 1713 Market Street Wilmington, NC 28403 / United States / https://alumni.uncw.edu/ / Educational Establishment/ Charity / The UNCW Alumni Association is the lead supporter in the university's strategic vision. Our purpose is to connect and involve alumni, students and friends in the promotion and advancement of the university. / Member of Board of directors / Help guide and advise the association, as it pertains to the Cameron School of Business / Start Date 11/2/2019 4) "University of North Carolina Wilmington - Cameron School of Business / 601 S College Road Wilmington, NC 28403 / United States / Educational Establishment/ Education / Public research University / Advisor or advisory group member if advice given may influence an officer/board / / Sit on the advisory committee of the Cameron School Alumni Board. Help organize alumni events and increase Alumni donations and participation. Offered President position for 2 year term starting July 1, 2019. / Start Date 3/1/2019 / 5) StepUp Wilmington / 621 N 4th StreetWilmingtonNC28401 / Overseeing the organizations financial administration, preparing annual budget, advising the board on financial and fundraising strategy. / Treasurer, Board of Directors / 5/1/2022 6) NAME OF OTHER BUSINESS: Wilmington Chamber of Commerce / INVESTMENT RELATED?: N / ADDRESS: 1 Estell Lee Pl/ NATURE OF THE BUSINESS: Association (e.g. Trade or Industry, Sport) / POSITION:_Advisor or advisory group member if advice given may influence an officer/board_ / DUTIES:_Serve as Chair person for the Young Professional Council_ / START DATE: 11/1/22 / HOURS DEVOTED TO BUSINESS: NA 7) Name of Business: StepUp Wilmington./ Address: 621 N 4th StreetWilmington NC United States 28401./ Investment Related: No./ Nature: Job placement, training and services./ Role: President, Board of Directors./ Duty: Overseeing the organizations financial administration, preparing annual budget, advising the board on financial and fundraising strategy./ Start Date: 7/1/2023./ Hours Devoted: N/A./ Time Required: Yes. 8) Name of Business: UNCW Alumni Association./ Address: 601 S College RoadWilmington NC United States 28403./ Investment Related: No./ Nature: The UNCW Alumni Association is the lead supporter in the university's strategic vision. Our purpose is to connect and involve alumni, students and friends in the promotion and advancement of the university./ Role: Member of Board of directors./ Duty: Serve as the Treasurer of the Alumni Association, helping to guide and advise the association, as it pertains to its finances./ Start Date: 7/1/2023./ Time Required: Yes. 9) 709 Autumn Leaves LLC, Investment related. Leland, NC 28451. Rental property; Managing Member; 01/15/2024; 1 hours a month and 0 hours during trading hours. LLC created to hold rental property.

Exams

• S66 Uniform Combined State Law Examination
  2015-12-03

Designations

• Certified Financial Planner