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 30, 1984earliest registration or exam on IAPD

Years in industry

42derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

3

Exams

S65|S63

First exam

May 30, 1984

First registration

Jan 1, 2002

Dual registered

yes, broker-dealer

Other names

DAVID ALAN RUBEN

IAPD individual key

1263176

• Occurred

  May 3, 2022
  Advisor changed firm

  David A Ruben left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2022-04-29)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7e90257d-4afc-cf0a-6124-c3319c99ea4a

First observed

Jan 1, 2002

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.