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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

LEO ANDREW HARRISON

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Rogers, AR | Dallas, TX | FAYETTEVILLE, AR

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 28, 2002 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: Sep 22, 1980earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S63|S66
First exam: Sep 22, 1980
First registration: May 28, 2002
Dual registered: yes, broker-dealer
Other names: LEO A HARRISON
IAPD individual key: 828754

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	Oct 6, 2025	n/a	yes	Rogers, AR	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Dec 1, 2024	n/a	yes	Rogers, AR\|FAYETTEVILLE, AR\|Dallas, TX	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 22, 2013	Dec 3, 2024	no	ROGERS, AR\|Fayetteville, AR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 5, 2013	no	ROGERS, AR\|Fayetteville, AR	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 9, 2004	Jun 1, 2009	no	ROGERS, AR\|ROGERS, AR	Previous registration
MORGAN STANLEY DW INC.	n/a	May 28, 2002	Aug 10, 2004	no	FAYETTEVILLE, AR	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ROCKEFELLER CAPITAL MANAGEMENT	Dec 3, 2024	Dec 1, 2024	-2	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 5, 2013	Feb 22, 2013	-11	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Aug 10, 2004	Aug 9, 2004	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:291361:AR:2024-12-03	Dec 3, 2024	Dec 1, 2024	FAYETTEVILLE, AR	Firm change

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Oct 6, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Dec 1, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 22, 2013 to Dec 3, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 5, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 9, 2004 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 28, 2002 to Aug 10, 2004factForm ADV

Dated events

Occurred
Dec 3, 2024
Advisor changed firm
Leo Andrew Harrison left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2024-12-01)
Form ADVobserved 4 days ago