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

Sep 13, 2002earliest registration or exam on IAPD

Years in industry

24derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

3

Exams

S66

First exam

Sep 13, 2002

First registration

Sep 18, 2002

Dual registered

yes, broker-dealer

Other names

KENNETH JAMES SHAPIRO

IAPD individual key

4560098

• Occurred

  Jul 28, 2025
  Advisor changed firm

  Kenneth J. Shapiro left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2025-07-17)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4d5d9ec8-83bf-2d10-2a4d-38fc8e007248

First observed

Sep 18, 2002

Last observed

Sep 14, 2026 7 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.