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Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-07-14
TX RA APPROVED 2025-06-27
  • FL RA
    APPROVED
    Since 2025-07-14
  • TX RA
    APPROVED
    Since 2025-06-27

Branch Locations

515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-07-07
TX RA APPROVED 2025-06-27
  • FL RA
    APPROVED
    Since 2025-07-07
  • TX RA
    APPROVED
    Since 2025-06-27

Branch Locations

515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Aventura FL 02/2013 06/2025
Rockefeller Financial Llc Fort Lauderdale FL 06/2025 Present
Rockefeller Capital Management Fort Lauderdale FL 06/2025 Present
Previous Registrations
Other Businesses

1) 600 East Main Street LLC / Aspen, Colorado 81611 / for the purposes of personal use and seasonal rentals / Real Estate / Partnership / oversight of the condo for the purpose of seasonal rentals / 4/1/2019 /// 2) Kids In Distress; 819 NE 26 Street, Fort Lauderdale, Florida 33305; Charity; a non profit charity that is community based with a board of directors . its mission is outreach activities in preventing child abuse, preserve and reunited families, treat children who have been abused, and provide foster and adoption care for children.; Member of Board of directors; oversight of the management team and organizational functions, setting policy, review of financials, and governance related activities of the board; Start date: 4/15/2024; Authority to make investment decisions: Yes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-31
S63 Uniform Securities Agent State Law Examination 1999-06-02
  • S66 Uniform Combined State Law Examination
    2007-12-31
  • S63 Uniform Securities Agent State Law Examination
    1999-06-02
Other Names
  • Laura Susan Raybinmiller
  • Laura Mulcahy
  • Laura Raybin
  • Laura Susan Miller
  • Laura Susan Raybin Miller
  • Laura Raybin Miller

View on SEC IAPD

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