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

Mar 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

2

Exams

S66

First exam

Feb 24, 2022

First registration

Feb 24, 2022

Dual registered

yes, broker-dealer

IAPD individual key

7487096

• Occurred

  Oct 13, 2023
  Advisor changed firm

  Neil Martin left Wells Fargo Advisors for Rockefeller Capital Management (registered 2023-10-06)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0fc0d79c-5666-327b-560b-6afe9c8c6974

First observed

Feb 24, 2022

Last observed

Sep 14, 2026 6 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.