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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-08-29 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-11-25 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Plano | TX | 10/1973 | 11/2019 |
| Bank Of America, Na | Dallas | TX | 12/2009 | 11/2019 |
| Rockefeller Financial Llc | Dallas | TX | 11/2019 | Present |
| Rockefeller Capital Management | Dallas | TX | 11/2019 | Present |
Mr. Alexander is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. L Abbott Trust; Investment Related; Trustee; 12/5/1980; Dallas, TX; 1 hour per month; 1 hour per month during trading hours; Trustee of a family related trust with fiduciary responsibilities.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-02-01 |
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