Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-08-27 |
Branch Locations
1600 West Loop South Suite 700, Houston, TX 77027 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-28 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 12/2011 | 06/2023 |
| Bank Of America, N.A. | Houston | TX | 12/2013 | 06/2023 |
| Rockefeller Financial Llc | Houston | TX | 06/2023 | Present |
| Rockefeller Capital Management | Houston | TX | 08/2025 | Present |
LAM I Interests LLC; Investment Related; Sugar Land, TX; Family Entity; Member; 8/3/2017; 0 hours per month; 0 hours during trading hours; LLC to facilitate family investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-12 |
Reach out to this advisor