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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

ROCKEFELLER & CO., INC.

ROCKEFELLER & CO., INC, CRD 106264

NEW YORK, NY

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Search this name across graphsid dfx:ria:9a31a3c4-e096-066f-4d54-4a2cd8dde38a

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 59
Dated events: 1
On other graphs: 2
Observed: Mar 30, 2012 to Mar 29, 2018
32 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Rockefeller & Co., Inc.

Private equity manager · shared crd

Venture Capitalidentity

Rockefeller & Co., Inc.

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $16BItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
Private client RAUM: $4.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 29%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 159
Advisory employees: 64
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2,731
Individual clients: 268
High net worth clients: 446
Private funds: 39Schedule D 7.B(1)
Private fund GAV: $2.4Bgross asset value as reported per fund; never fund size
Custody, client assets: $19B
SEC number: 801-15106
CRD: 106264
Filings on the tape: 32
First filed: Mar 30, 2012
Latest filed: Mar 29, 2018
Organised: Corporation, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 37

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Flp004	Other Private Fund	$398M	Apr 1, 2013	11	Mar 30, 2012	dropped	n/a
Flp020	Other Private Fund	$316M	Oct 3, 2014	2	Mar 30, 2012	dropped	n/a
Flp006	Other Private Fund	$221M	Apr 1, 2013	6	Mar 30, 2012	dropped	n/a
ROCKEFELLER TAX EXEMPT INCOME FUND - NY LP	Other Private Fund	$151M	Oct 18, 2013	75	Mar 30, 2012	dropped	n/a
Flp028	Other Private Fund	$121M	Jan 11, 2013	16	Mar 30, 2012	dropped	n/a
ROCKEFELLER TAX EXEMPT INCOME FUND - NATIONAL LP	Other Private Fund	$58.5M	Oct 18, 2013	90	Mar 30, 2012	dropped	n/a
ROCKEFELLER TAXABLE BOND FUND II QP, L.P.	Other Private Fund	$50.9M	Oct 18, 2013	52	Apr 1, 2013	dropped	021-177962
Flp023	Other Private Fund	$45.0M	Apr 1, 2013	6	Mar 30, 2012	dropped	n/a
ROCKEFELLER TAXABLE BOND FUND II LP	Other Private Fund	$29.4M	Oct 18, 2013	65	Mar 30, 2012	dropped	n/a
ROCKEFELLER SELECT EQUITY FUND, L.P.	Other Private Fund	$27.9M	Oct 3, 2014	32	Apr 1, 2013	dropped	021-179622
ROCKEFELLER GLOBAL FINANCIAL SERVICES RECOVERY FUND LLC	Hedge Fund	$27.6M	Jan 3, 2017	12	Mar 30, 2012	dropped	021-119937
Flp033	Other Private Fund	$19.5M	Apr 1, 2013	1	Mar 30, 2012	dropped	n/a
Flp031	Other Private Fund	$18.8M	Apr 1, 2013	3	Mar 30, 2012	dropped	n/a
Flp022	Other Private Fund	$18.1M	Jan 11, 2013	2	Mar 30, 2012	dropped	n/a
Flp021	Other Private Fund	$17.4M	Jan 11, 2013	2	Mar 30, 2012	dropped	n/a
Flp007	Other Private Fund	$16.9M	Apr 1, 2013	13	Mar 30, 2012	dropped	n/a
Flp008	Other Private Fund	$12.5M	Apr 1, 2013	3	Mar 30, 2012	dropped	n/a
Flp015	Other Private Fund	$11.3M	Apr 1, 2013	5	Mar 30, 2012	dropped	n/a
Flp019	Other Private Fund	$11.0M	Apr 1, 2013	3	Mar 30, 2012	dropped	n/a
Flp014	Other Private Fund	$10.2M	Jan 11, 2013	5	Mar 30, 2012	dropped	n/a
ROCKEFELLER VENTURE OPPORTUNITIES FUND LP	Other Private Fund	$10.0M	Oct 18, 2013	53	Mar 30, 2012	dropped	n/a
Flp009	Other Private Fund	$5.9M	Apr 1, 2013	10	Mar 30, 2012	dropped	n/a
Flp012	Other Private Fund	$4.4M	Jan 11, 2013	2	Mar 30, 2012	dropped	n/a
Flp032	Other Private Fund	$4.1M	Jan 11, 2013	3	Mar 30, 2012	dropped	n/a
Flp025	Other Private Fund	$4.0M	Jan 11, 2013	3	Mar 30, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DRAGSA 24 CAYMAN LTD.	LIMITED PARTNER	C	yes	03/2018	Mar 29, 2018	Mar 29, 2018
DRAGSA 24 CAYMAN LTD.	Member	C	yes	03/2018	Mar 29, 2018	Mar 29, 2018
DRAGSA 30 CAYMAN LTD.	Member	C	yes	03/2018	Mar 29, 2018	Mar 29, 2018
DRAGSA 30 CAYMAN LTD.	LIMITED PARTNER	C	yes	03/2018	Mar 29, 2018	Mar 29, 2018
FLEMING, GREGORY, JAMES	PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	03/2018	Mar 29, 2018	Mar 29, 2018
GARCIA, YVETTE, MARIE	GENERAL COUNSEL & SECRETARY	Na	yes	03/2018	Mar 30, 2012	Mar 29, 2018
HALVORSEN, OLE, ANDREAS	LIMITED PARTNER	C	yes	04/1999	Mar 29, 2018	Mar 29, 2018
HALVORSEN, OLE, ANDREAS	Member	D	yes	04/1999	Mar 29, 2018	Mar 29, 2018
MCCARTHY, TIMOTHY, JOSEPH	CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY	Na	yes	03/2018	Mar 30, 2012	Mar 29, 2018
MORIARTY, EDMOND, N	CHIEF FINANCIAL OFFICER	Na	yes	03/2018	Mar 29, 2018	Mar 29, 2018
OTT, DAVID, CHRISTOPHER	LIMITED PARTNER	C	yes	04/1999	Mar 29, 2018	Mar 29, 2018
OTT, DAVID, CHRISTOPHER	Member	D	yes	04/1999	Mar 29, 2018	Mar 29, 2018
RFS OPCO LLC	Member	E	yes	03/2018	Mar 29, 2018	Mar 29, 2018
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C.	GENERAL PARTNER	F	yes	10/2017	Mar 29, 2018	Mar 29, 2018
ROCKEFELLER CAPITAL MANAGEMENT L.P.	Member	E	yes	03/2018	Mar 29, 2018	Mar 29, 2018
SINGH, HARDIT	CHIEF OPERATING OFFICER	Na	yes	03/2018	Mar 29, 2018	Mar 29, 2018
VIKING GLOBAL INVESTORS LP	VOITING SECURITY SHAREHOLDER	E	yes	01/2018	Mar 29, 2018	Mar 29, 2018
VIKING GLOBAL INVESTORS LP	VOTING SECURITY SHAREHOLDER	E	yes	01/2018	Mar 29, 2018	Mar 29, 2018
VIKING GLOBAL PARTNERS LLC	GENERAL PARTNER	F	yes	04/1999	Mar 29, 2018	Mar 29, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VIKING GLOBAL INVESTORS LP	n/a	Asset manager	$78B	Y	no	n/a
ROCKEFELLER FUND MANAGERS, LLC	n/a	n/a	n/a	Y	yes	n/a
ROCKEFELLER PARTNERSHIP SERVICES LLC	n/a	n/a	n/a	Y	yes	n/a
ROCKEFELLER TRUST COMPANY, N.A.	n/a	n/a	n/a	Y	yes	NY
THE ROCKEFELLER TRUST COMPANY (DELAWARE)	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Washington	Dc	United States	2	no
Boston	Ma	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$16B	$16B	159	64	2	39	$2.4B
2016	Mar 31, 2017	$10B	$10B	151	69	n/a	40	$2.1B
2015	Mar 30, 2016	$10B	$10B	154	69	n/a	41	$2.0B
2014	Mar 31, 2015	$9.8B	$9.4B	131	58	n/a	40	$2.2B
2013	Mar 31, 2014	$11B	$9.6B	122	57	n/a	43	$2.4B
2012	Apr 1, 2013	$10B	$9.5B	118	50	n/a	59	$3.0B
2011	Mar 30, 2012	$7.1B	$6.1B	n/a	n/a	n/a	67	$2.9B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$16B	$10B	53.1%	$9.8B	17.4%	159	151	2	n/a

Relationships

Affiliated with (1)

→ VIKING GLOBAL INVESTORS LPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV

Controls (14)

← VIKING GLOBAL INVESTORS LPOwnerVOITING SECURITY SHAREHOLDER, ownership code E, domestic entity
Mar 29, 2018 to presentfactForm ADV
← MORIARTY, EDMOND, NOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← HALVORSEN, OLE, ANDREASOwnerLIMITED PARTNER, ownership code C, individual
Mar 29, 2018 to presentfactForm ADV
← SINGH, HARDITOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← FLEMING, GREGORY, JAMESOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← MCCARTHY, TIMOTHY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← GARCIA, YVETTE, MARIEOwnerGENERAL COUNSEL & SECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← OTT, DAVID, CHRISTOPHEROwnerLIMITED PARTNER, ownership code C, individual
Mar 29, 2018 to presentfactForm ADV
← DRAGSA 24 CAYMAN LTD.OwnerMEMBER, ownership code C, foreign entity
Mar 29, 2018 to presentfactForm ADV
← DRAGSA 30 CAYMAN LTD.OwnerMEMBER, ownership code C, foreign entity
Mar 29, 2018 to presentfactForm ADV
← RFS OPCO LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2018 to presentfactForm ADV
← ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C.OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 29, 2018 to presentfactForm ADV
← ROCKEFELLER CAPITAL MANAGEMENT L.P.OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2018 to presentfactForm ADV
← VIKING GLOBAL PARTNERS LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 29, 2018 to presentfactForm ADV

Advises (37)

→ ROCKEFELLER VENTURE FUND LLCPrivate fundVenture Capital Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ROCKEFELLER GLOBAL FINANCIAL SERVICES RECOVERY FUND LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Jan 3, 2017factForm ADV
→ ROCKEFELLER FINANCIAL ASIA LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Jan 3, 2017factForm ADV
→ ROCKEFELLER SELECT EQUITY FUND, L.P.Private fundOther Private Fund, IA, no longer reported
Apr 1, 2013 to Oct 3, 2014factForm ADV
→ FLP020Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 3, 2014factForm ADV
→ FLP034Private fundOther Private Fund, IA, no longer reported
Apr 30, 2013 to Oct 3, 2014factForm ADV
→ ROCKEFELLER VENTURE OPPORTUNITIES FUND LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 18, 2013factForm ADV
→ ROCKEFELLER TAX EXEMPT INCOME FUND - NATIONAL LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 18, 2013factForm ADV
→ FLP003Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 18, 2013factForm ADV
→ ROCKEFELLER TAXABLE BOND FUND II QP, L.P.Private fundOther Private Fund, IA, no longer reported
Apr 1, 2013 to Oct 18, 2013factForm ADV
→ ROCKEFELLER TAXABLE BOND FUND II LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 18, 2013factForm ADV
→ ROCKEFELLER TAX EXEMPT INCOME FUND - NY LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Oct 18, 2013factForm ADV
→ FLP033Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP026Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP023Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP009Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP006Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP031Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP001Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP005Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP007Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP015Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP019Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP004Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP008Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ FLP010Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 11, 2013factForm ADV
→ FLP013Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 11, 2013factForm ADV
→ FLP025Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 11, 2013factForm ADV
→ FLP022Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 11, 2013factForm ADV
→ FLP028Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 11, 2013factForm ADV
and 7 more

Registered with (2)

← MATTHEW DAVID GELFANDAdvisorregistration: previous registration
Feb 1, 2012 to May 16, 2018factForm ADV
← Michael R MarshAdvisorregistration: previous registration
Dec 1, 2011 to Apr 8, 2014factForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Rockefeller & Co., Inc. reported RAUM $15.8B, up 53% from $10.3B (2017-08-16 to 2018-03-29)
Form ADVobserved 4 days ago
$5.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a31a3c4-e096-066f-4d54-4a2cd8dde38a
First observed: Mar 30, 2012
Last observed: Mar 29, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds 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.

ROCKEFELLER & CO., INC.

ROCKEFELLER & CO., INC, CRD 106264

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a31a3c4-e096-066f-4d54-4a2cd8dde38a

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

Flp004

Other Private Fund

$398M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp020

Other Private Fund

$316M

Oct 3, 2014

Mar 30, 2012

dropped

n/a

Flp006

Other Private Fund

$221M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER TAX EXEMPT INCOME FUND - NY LP

Other Private Fund

$151M

Oct 18, 2013

Mar 30, 2012

dropped

n/a

Flp028

Other Private Fund

$121M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER TAX EXEMPT INCOME FUND - NATIONAL LP

Other Private Fund

$58.5M

Oct 18, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER TAXABLE BOND FUND II QP, L.P.

Other Private Fund

$50.9M

Oct 18, 2013

Apr 1, 2013

dropped

021-177962

Flp023

Other Private Fund

$45.0M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER TAXABLE BOND FUND II LP

Other Private Fund

$29.4M

Oct 18, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER SELECT EQUITY FUND, L.P.

Other Private Fund

$27.9M

Oct 3, 2014

Apr 1, 2013

dropped

021-179622

ROCKEFELLER GLOBAL FINANCIAL SERVICES RECOVERY FUND LLC

Hedge Fund

$27.6M

Jan 3, 2017

Mar 30, 2012

dropped

021-119937

Flp033

Other Private Fund

$19.5M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp031

Other Private Fund

$18.8M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp022

Other Private Fund

$18.1M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

Flp021

Other Private Fund

$17.4M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

Flp007

Other Private Fund

$16.9M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp008

Other Private Fund

$12.5M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp015

Other Private Fund

$11.3M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp019

Other Private Fund

$11.0M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp014

Other Private Fund

$10.2M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

ROCKEFELLER VENTURE OPPORTUNITIES FUND LP

Other Private Fund

$10.0M

Oct 18, 2013

Mar 30, 2012

dropped

n/a

Flp009

Other Private Fund

$5.9M

Apr 1, 2013

Mar 30, 2012

dropped

n/a

Flp012

Other Private Fund

$4.4M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

Flp032

Other Private Fund

$4.1M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

Flp025

Other Private Fund

$4.0M

Jan 11, 2013

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DRAGSA 24 CAYMAN LTD.

LIMITED PARTNER

yes

03/2018

Mar 29, 2018

DRAGSA 24 CAYMAN LTD.

Member

yes

03/2018

Mar 29, 2018

DRAGSA 30 CAYMAN LTD.

Member

yes

03/2018

Mar 29, 2018

DRAGSA 30 CAYMAN LTD.

LIMITED PARTNER

yes

03/2018

Mar 29, 2018

FLEMING, GREGORY, JAMES

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

03/2018

Mar 29, 2018

GARCIA, YVETTE, MARIE

GENERAL COUNSEL & SECRETARY

yes

03/2018

Mar 30, 2012

Mar 29, 2018

HALVORSEN, OLE, ANDREAS

LIMITED PARTNER

yes

04/1999

Mar 29, 2018

HALVORSEN, OLE, ANDREAS

Member

yes

04/1999

Mar 29, 2018

MCCARTHY, TIMOTHY, JOSEPH

CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY

yes

03/2018

Mar 30, 2012

Mar 29, 2018

MORIARTY, EDMOND, N

CHIEF FINANCIAL OFFICER

yes

03/2018

Mar 29, 2018

OTT, DAVID, CHRISTOPHER

LIMITED PARTNER

yes

04/1999

Mar 29, 2018

OTT, DAVID, CHRISTOPHER

Member

yes

04/1999

Mar 29, 2018

RFS OPCO LLC

Member

yes

03/2018

Mar 29, 2018

ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C.

GENERAL PARTNER

yes

10/2017

Mar 29, 2018

ROCKEFELLER CAPITAL MANAGEMENT L.P.

Member

yes

03/2018

Mar 29, 2018

SINGH, HARDIT

CHIEF OPERATING OFFICER

yes

03/2018

Mar 29, 2018

VIKING GLOBAL INVESTORS LP

VOITING SECURITY SHAREHOLDER

yes

01/2018

Mar 29, 2018

VIKING GLOBAL INVESTORS LP

VOTING SECURITY SHAREHOLDER

yes

01/2018

Mar 29, 2018

VIKING GLOBAL PARTNERS LLC

GENERAL PARTNER

yes

04/1999

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIKING GLOBAL INVESTORS LP

n/a

Asset manager

$78B

n/a

ROCKEFELLER FUND MANAGERS, LLC

n/a

yes

n/a

ROCKEFELLER PARTNERSHIP SERVICES LLC

n/a

yes

n/a

ROCKEFELLER TRUST COMPANY, N.A.

n/a

yes

THE ROCKEFELLER TRUST COMPANY (DELAWARE)

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Washington

United States

Boston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$16B

159

$2.4B

2016

Mar 31, 2017

$10B

151

n/a

$2.1B

2015

Mar 30, 2016

$10B

154

n/a

$2.0B

2014

Mar 31, 2015

$9.8B

$9.4B

131

n/a

$2.2B

2013

Mar 31, 2014

$11B

$9.6B

122

n/a

$2.4B

2012

Apr 1, 2013

$10B

$9.5B

118

n/a

$3.0B

2011

Mar 30, 2012

$7.1B

$6.1B

n/a

$2.9B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$16B

$10B

53.1%

$9.8B

17.4%

159

151

n/a