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

Oct 17, 1996earliest registration or exam on IAPD

Years in industry

29derivedfrom 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

Oct 17, 1996

First registration

Nov 20, 1996

Dual registered

yes, broker-dealer

Other names

HEATHER DUKES|HEATHER LYNN DUKES|HEATHER LYNN SEMPLE|HEATHER BROWN

IAPD individual key

2546484

• Occurred

  Dec 24, 2025
  Advisor changed firm

  Heather Lynn Brown left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2025-12-05)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6ae01297-031d-7576-e77c-a7b63db7f24f

First observed

Nov 20, 1996

Last observed

Sep 14, 2026 6 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.