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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED | 2023-09-15 |
Branch Locations
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-31 |
| TX | RA | APPROVED_RES | 2022-05-30 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 01/1981 | 05/2022 |
| Bank Of America, N.A. | San Jose | CA | 05/2011 | 05/2022 |
| Rockefeller Financial Llc | Campbell | CA | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 1980-12-19 |
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