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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

TRACY ANN GRAVIUS

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

BROOKFIELD, CT | New York, NY | Stamford, CT

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Search this name across graphsid dfx:ria:56da63a9-dd0b-1342-e536-17c3f3665ae1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 21, 2006 to Sep 15, 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: Feb 17, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Feb 17, 2006
First registration: Feb 21, 2006
Dual registered: yes, broker-dealer
Other names: TRACY A JOHNSON|TRACY A JOHNSON|Tracy A Gravius|Tracy A Gravius|TRACY ANN GRAVIUS|Tracy Ann Johnson
IAPD individual key: 4615069

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	Aug 9, 2024	n/a	yes	Stamford, CT	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Oct 21, 2021	n/a	yes	New York, NY\|Stamford, CT\|BROOKFIELD, CT	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 26, 2013	no	RIVERSIDE, CT\|Greenwich, CT	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 29, 2012	Oct 1, 2012	no	RIVERSIDE, CT	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	Apr 17, 2012	no	GREENWICH, CT\|NEW CANAAN, CT	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Nov 2, 2006	Oct 1, 2008	no	NEW YORK, NY\|GREENWICH, CT\|NEW CANAAN, CT	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 21, 2006	Nov 17, 2006	no	APPLETON, WI	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
J.P. MORGAN SECURITIES LLC	ROCKEFELLER CAPITAL MANAGEMENT	Mar 26, 2013	Oct 21, 2021	3,131	Firm change after gap	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	CHASE INVESTMENT SERVICES CORP.	Apr 17, 2012	May 29, 2012	42	Firm change	Other
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES INC.	Nov 17, 2006	Nov 2, 2006	-15	Firm change	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Aug 9, 2024 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Oct 21, 2021 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 26, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 29, 2012 to Oct 1, 2012factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Nov 2, 2006 to Oct 1, 2008factForm ADV

Dated events

No dated event names this entity yet.