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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-03-05 |
| TX | RA | APPROVED | 2024-02-16 |
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 |
|---|---|---|---|
| MA | RA | APPROVED | 2023-09-07 |
| TX | RA | APPROVED | 2023-08-30 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
115 Federal St, Floor 23, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Capital Management | Boston | MA | 08/2019 | 12/2023 |
| Cambridge Associates Llc | Boston | MA | 08/2005 | 07/2019 |
| Rockefeller Financial Llc | Boston | MA | 03/2023 | 12/2023 |
| Rockefeller Financial Llc | Boston | MA | 01/2024 | Present |
1) Glasswing Ventures - investment related; 275 Newbury Street Boston MA 02116; venture capital fund; serve as Advisory Board member for Fund II; start date December 2022; 2-3 hours per month, all outside of securities trading hours. I help advise the GP on the LP market environment. I do not get compensated, however, the GP makes a donation to a charity. 2) Rockefeller Family Fund - investment related activity for a tax exempt entity; 475 Riverside Drive, Suite 900 New York, NY 10115; I serve on the Investment Committee; started in 2020; 3-5 hours per quarter; meetings may be held during securities trading hours. The Investment Committee (which I am a member) is responsible for setting the asset allocation and overseeing the investment manager. I do not get compensated.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-07-21 |
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