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

May 1, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Jul 6, 2019

First registration

Jul 19, 2019

Dual registered

yes, broker-dealer

Other names

SOPHIA KATSAFOUROS|Sophia Eleni Katsafouros|SOPHIA E KATSAFOUROS

IAPD individual key

6833725

• Occurred

  Sep 23, 2025
  Advisor changed firm

  Sophia E Katsafouros left Morgan Stanley for Rockefeller Capital Management (registered 2025-09-23)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:65e81ace-c829-cd7b-9ea5-47fe2392f6f6

First observed

Jul 19, 2019

Last observed

Sep 14, 2026 5 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.