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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-09-04 |
| NY | RA | APPROVED | 2024-02-21 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-09-03 |
| NY | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2023-04-19 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2005 | 01/2017 |
| Bank Of America, N.A. | New York | NY | 09/2009 | 01/2017 |
| First Republic Securities Company, Llc | New York | NY | 01/2017 | 04/2017 |
| First Republic Investment Management, Inc. | New York | NY | 01/2017 | 04/2017 |
| First Republic Securities Company, Llc | New York | NY | 04/2017 | 04/2023 |
| First Republic Investment Management, Inc. | New York | NY | 04/2017 | 04/2023 |
| Rockefeller Financial Llc | New York | NY | 04/2023 | 08/2025 |
| Rockefeller Capital Management | New York | NY | 02/2024 | 08/2025 |
| Rockefeller Capital Management | Florham Park | NJ | 09/2025 | Present |
| Rockefeller Financial Llc | Florham Park | NJ | 09/2025 | Present |
1) Name: Client's Trust Account Investment-Related: Yes Position/ Title: Trustee Duties: Mr. Farber acts in the capacity of trustee for a client account. Number of hours each month: 1 Number of hours during trading: 1 2) Name: Banika LLC Investment-related: Yes Nature of the business: Making an investment in Verneek Inc an early stage technology company Role: I am a member of the LLC Start Date: 10/25/2022 Description of duties: I am strictly an investor. Number of hours each month: 0 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-16 |
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