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 |
|---|---|---|---|
| MA | RA | APPROVED | 2026-05-19 |
| TX | RA | APPROVED_RES | 2026-03-16 |
Branch Locations
115 Federal St, Floor 23, Boston, MA 02110 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-05-10 |
| MA | RA | APPROVED | 2021-09-22 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
115 Federal St, Floor 23, Boston, MA 02110 • 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 |
|---|---|---|---|---|
| Rockefeller & Co | Boston | MA | 03/2004 | 03/2023 |
| Rockefeller Financial Llc | Boston | MA | 02/2021 | Present |
| Rockefeller Capital Management | Boston | MA | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-09 |
| S65 | Uniform Investment Adviser Law Examination | 1996-12-26 |
| S63 | Uniform Securities Agent State Law Examination | 1985-02-08 |
Reach out to this advisor