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

Jan 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

2

Exams

S65

First exam

Dec 10, 2010

First registration

Dec 13, 2010

Dual registered

no

IAPD individual key

5859208

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9a91d2d9-23a4-9d9f-393c-e8c4b8c382be

First observed

Dec 13, 2010

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.