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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

CATHERINE MCMICHAEL ELROD

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Richmond, VA | Florham Park, NJ

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Search this name across graphsid dfx:ria:7d3cd72d-67b3-092a-332a-d5d00bd4aa37

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 20, 2006 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: Mar 17, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 17, 2006
First registration: Mar 20, 2006
Dual registered: yes, broker-dealer
Other names: CATHERINE MCMICHAEL
IAPD individual key: 4718478

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	Feb 1, 2024	n/a	yes	Florham Park, NJ\|Richmond, VA	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 22, 2022	Feb 5, 2024	no	RICHMOND, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 28, 2014	Mar 23, 2022	no	RICHMOND, VA\|ROANOKE, VA\|GREENVILLE, SC\|GREENVILLE, SC\|VIRGINIA BEACH, VA\|VIRGINIA BEACH, VA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 7, 2011	Aug 20, 2014	no	RICHMOND, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 23, 2011	no	RICHMOND, VA\|Richmond, VA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 23, 2008	Jun 1, 2009	no	RICHMOND, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 20, 2006	Jun 10, 2008	no	RICHMOND, VA\|RICHMOND, VA	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
TRUIST ADVISORY SERVICES, INC.	ROCKEFELLER CAPITAL MANAGEMENT	Feb 5, 2024	Feb 1, 2024	-4	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	TRUIST ADVISORY SERVICES, INC.	Mar 23, 2022	Mar 22, 2022	-1	Firm change	Wirehouse to ibd
RBC CAPITAL MARKETS, LLC	WELLS FARGO ADVISORS	Aug 20, 2014	Jul 28, 2014	-23	Firm change	Ibd to wirehouse
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Feb 23, 2011	Feb 7, 2011	-16	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Jun 10, 2008	May 23, 2008	-18	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283390:291361:VA:2024-02-02	Feb 5, 2024	Feb 1, 2024	RICHMOND, VA	Firm change
19616:283390:VA:2022-03-18	Mar 23, 2022	Mar 22, 2022	VIRGINIA BEACH, VA	Firm change

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Feb 1, 2024 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 22, 2022 to Feb 5, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 28, 2014 to Mar 23, 2022factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 7, 2011 to Aug 20, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 23, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 23, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Feb 5, 2024
Advisor changed firm
Catherine Mcmichael Elrod left Truist Advisory Services, Inc. for Rockefeller Capital Management (registered 2024-02-01)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2022
Advisor changed firm
Catherine Mcmichael Elrod left Wells Fargo Advisors for Truist Advisory Services, Inc. (registered 2022-03-22)
Form ADVobserved 4 days ago