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

Feb 26, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Exams

S63

First exam

Feb 26, 2008

First registration

Nov 3, 2015

Dual registered

yes, broker-dealer

IAPD individual key

5450378

• Occurred

  Jan 15, 2026
  Advisor changed firm

  Joshua David Bruegman left Rbc Capital Markets, Llc for Rockefeller Capital Management (registered 2026-01-09)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5ade00ad-4440-54d4-cb08-0f6818ebcc2c

First observed

Nov 3, 2015

Last observed

Sep 15, 2026 4 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.