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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 | 2024-08-08 |
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 | 2019-07-01 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
Frisco, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 08/2014 | 06/2019 |
| Rockefeller Financial Llc | Dallas | TX | 07/2019 | Present |
| Rockefeller Capital Management | Dallas | TX | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-17 |
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