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

Aug 1, 2012earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

May 12, 2017

First registration

May 15, 2017

Dual registered

yes, broker-dealer

Other names

John Thomas Ludington|John Ludington

IAPD individual key

6739073

• Occurred

  Jan 16, 2024
  Advisor changed firm

  John Thomas Ludington left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2024-01-12)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ae8d74d2-c773-8042-4b2f-b6a41b4627b4

First observed

May 15, 2017

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.