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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-12 |
| TX | RA | APPROVED | 2025-08-12 |
Branch Locations
800 Newport Center Driv Suite 530 N, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-12 |
| CA | RA | APPROVED | 2021-06-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch Pierce Fenner & Smith Inc | Newport Beach | CA | 03/2003 | 06/2021 |
| Bank Of America,N.A. | Newport Beach | CA | 06/2011 | 06/2021 |
| Rockefeller Financial Llc | Newport Beach | CA | 06/2021 | Present |
| Rockefeller Capital Management | Newport Beach | FL | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-13 |
Reach out to this advisor