Best Investors
Account
Sign in
Best Investors
Account
Sign in
CRD 3215803
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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-11 |
| TX | RA | APPROVED | 2025-08-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles , CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-23 |
| NY | RA | APPROVED | 2021-10-09 |
| TX | RA | APPROVED_RES | 2021-10-08 |
Branch Locations
Manhattan Beach, CA • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 09/2008 | 10/2021 |
| Rockefeller Financiale Llc | Los Angeles | CA | 10/2021 | Present |
| Rockefeller Capital Management | Los Angeles | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-21 |
Reach out to this advisor