DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

John Patrick Perry

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Rocky Mount, NC | Charlotte, NC

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:a30049f5-7ac9-0205-eaa6-624a05edf182

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 17, 2004 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: Sep 17, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Sep 17, 1987
First registration: Aug 17, 2004
Dual registered: yes, broker-dealer
Other names: JOHN PERRY
IAPD individual key: 1469239

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	Aug 7, 2024	n/a	yes	Charlotte, NC	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	May 13, 2024	n/a	yes	Charlotte, NC\|Rocky Mount, NC	Current employment
MORGAN STANLEY	Wirehouse	Aug 18, 2017	Jan 3, 2024	no	Yardley, PA\|Philadelphia, PA\|Blue Bell, PA\|Yardley, PA\|Blue Bell, PA\|Philadelphia, PA\|Short Hills, NJ\|Charlotte, NC\|Charlotte, NC\|RALEIGH, NC\|Columbia, SC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 10, 2014	May 17, 2017	no	PENNINGTON, NJ\|NEW YORK, NY\|PENNINGTON, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 7, 2013	Mar 6, 2014	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 17, 2004	Dec 11, 2012	no	NEW YORK, NY\|JERSEY CITY, NJ\|NEW YORK, NY\|JERSEY CITY, NJ\|BRIDGEWATER, NJ\|EAST BRUNSWICK, NJ	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
MORGAN STANLEY	ROCKEFELLER CAPITAL MANAGEMENT	Jan 3, 2024	May 13, 2024	131	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	May 17, 2017	Aug 18, 2017	93	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 6, 2014	Sep 10, 2014	188	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Dec 11, 2012	Jan 7, 2013	27	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
7691:149777:NJ:2017-05-05	May 17, 2017	Aug 18, 2017	PENNINGTON, NJ	Firm change

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Aug 7, 2024 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
May 13, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 18, 2017 to Jan 3, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 10, 2014 to May 17, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 7, 2013 to Mar 6, 2014factForm ADV

Dated events

Occurred
Jan 3, 2024
Advisor changed firm
John Patrick Perry left Morgan Stanley for Rockefeller Capital Management (registered 2024-05-13)
Form ADVobserved 5 days ago