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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

BRUCE GEOFFREY WAIN

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Plymouth, MN | Chicago, IL

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Search this name across graphsid dfx:ria:63d95abe-7c0d-6fc3-661f-83bc96358a36

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 24, 2000 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: May 17, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 17, 1996
First registration: Mar 24, 2000
Dual registered: yes, broker-dealer
Other names: BRUCE G WAIN
IAPD individual key: 2730428

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 21, 2026	n/a	yes	Chicago, IL\|Plymouth, MN	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 28, 2014	Aug 19, 2026	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|WAYZATA, MN\|MINNEAPOLIS, MN\|BLOOMINGTON, MN\|Bloomington, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 7, 2013	Aug 1, 2014	no	EDINA, MN	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 25, 2013	no	Minneapolis, MN	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 2, 2008	Jun 1, 2009	no	MINNEAPOLIS, MN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 24, 2000	Sep 16, 2008	no	MINNEAPOLIS, MN\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|CLEVELAND, OH	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	Aug 19, 2026	Aug 21, 2026	2	Firm change	Wirehouse to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Aug 1, 2014	Jul 28, 2014	-4	Firm change	Ibd to wirehouse
MORGAN STANLEY	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 25, 2013	Feb 7, 2013	-18	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Sep 16, 2008	Sep 2, 2008	-14	Firm change	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Aug 21, 2026 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 28, 2014 to Aug 19, 2026factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 7, 2013 to Aug 1, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 25, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 2, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Aug 19, 2026
Advisor changed firm
Bruce Geoffrey Wain left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2026-08-21)
Form ADVobserved 5 days ago