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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-03 |
| NY | RA | APPROVED | 2025-10-31 |
Branch Locations
45 Rockefeller Plaza, Ny, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-14 |
| NY | RA | APPROVED | 2024-10-11 |
Branch Locations
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 |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 11/2015 | 08/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2016 | 10/2024 |
| Rockefeller Financial Llc | Ny | NY | 10/2024 | Present |
| Rockefeller Capital Management | Ny | NY | 10/2025 | Present |
David J Cohen 2020 Irrevocable Trust; Non-investment related; Sudbury, MA; Trustee; 01/18/2025; 4 hours per year and 0 hours during trading hours; Trustee on small family trust. Matthew Cohen 2020 Irrevocable Trust; Non-investment related; Weston, MA; Trustee; 01/18/2025; 5 hours per year and 0 hours during trading hours; Trustee on small family trust
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-18 |
| S66 | Uniform Combined State Law Examination | 2007-06-25 |
Reach out to this advisor