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

Feb 1, 1992earliest registration or exam on IAPD

Years in industry

34derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

2

Exams

S63|S65

First exam

Apr 14, 1992

First registration

Mar 28, 1996

Dual registered

yes, broker-dealer

Other names

JAMES TRENT COWLES|TRENT COWLES|J. TRENT COWLES|J T COWLES|JAMES T COWLES

IAPD individual key

2226953

• Occurred

  Feb 21, 2023
  Advisor changed firm

  J. T Cowles left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2023-02-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:abec67aa-d6c7-54c9-ee55-0b6446385289

First observed

Mar 28, 1996

Last observed

Sep 15, 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.