This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

ROCKEFELLER CAPITAL MANAGEMENT

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Apr 30, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66|S63

First exam

Apr 30, 2001

First registration

Mar 26, 2007

Dual registered

yes, broker-dealer

IAPD individual key

4371339

• Occurred

  Sep 7, 2026
  Advisor changed firm

  Michael Herzberg left Morgan Stanley for Rockefeller Capital Management (registered 2026-09-04)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0812142f-e551-2e9c-d4e9-aa456aa56a2b

First observed

Mar 26, 2007

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.