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, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

2

Designations

Certified Financial Planner

Exams

S63

First exam

Jun 4, 2021

First registration

Nov 7, 2025

Dual registered

yes, broker-dealer

Other names

Seth Alton Wheeler

IAPD individual key

7257869

• Occurred

  Nov 26, 2025
  Advisor changed firm

  Seth Alton Wheeler left Northwestern Mutual Investment Services,Llc for Rockefeller Capital Management (registered 2025-11-14)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7d6005b2-324b-5a8b-b367-0ab7bca33d82

First observed

Nov 7, 2025

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.