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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

ROBERT BENJAMIN PERLMAN

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

New York, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2008 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Nov 30, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Nov 30, 1988
First registration: Mar 28, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 1892131

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Jul 23, 2026	n/a	yes	New York, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 23, 2015	Jul 30, 2026	no	NEW YORK, NY\|Greenwich, CT	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Aug 27, 2008	Dec 18, 2015	no	NEW YORK, NY	Previous registration
LEHMAN BROTHERS INC.	n/a	Mar 28, 2008	Sep 9, 2008	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	ROCKEFELLER CAPITAL MANAGEMENT	Jul 30, 2026	Jul 23, 2026	-7	Firm change	Wirehouse to ibd
CREDIT SUISSE SECURITIES (USA) LLC	UBS FINANCIAL SERVICES INC.	Dec 18, 2015	Nov 23, 2015	-25	Bulk transfer	Other
LEHMAN BROTHERS INC.	CREDIT SUISSE SECURITIES (USA) LLC	Sep 9, 2008	Aug 27, 2008	-13	Bulk transfer	Other

Relationships

Registered with (4)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jul 23, 2026 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 23, 2015 to Jul 30, 2026factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Aug 27, 2008 to Dec 18, 2015factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Mar 28, 2008 to Sep 9, 2008factForm ADV

Dated events

Occurred
Jul 30, 2026
Advisor changed firm
Robert Benjamin Perlman left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2026-07-23)
Form ADVobserved 4 days ago