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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-11-07 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
3060 Peachtree Road Nw Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2019-06-18 |
| TX | RA | APPROVED | 2019-02-22 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Atlanta | GA | 06/2014 | 02/2019 |
| Bank Of America, N.A. | Atlanta | GA | 09/2015 | 02/2019 |
| Rockefeller Financial Llc | Atlanta | GA | 02/2019 | Present |
| Rock & Co Llc | Atlanta | GA | 02/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-16 |
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