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

Nov 16, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Nov 16, 2013

First registration

Jun 3, 2015

Dual registered

yes, broker-dealer

Other names

NICK JOESPH PETERSON

IAPD individual key

6118736

• Occurred

  Nov 6, 2025
  Advisor departed, no destination yet

  Nicholas Joseph Peterson no longer registered at Rockefeller Capital Management; no later IA registration on IAPD

  Form ADVobserved 3 days ago
• Occurred

  May 11, 2022
  Advisor changed firm

  Nicholas Joseph Peterson left Morgan Stanley for J.P. Morgan Private Wealth Advisors Llc (registered 2022-04-19)

  Form ADVobserved 3 days ago
• Occurred

  Apr 26, 2022
  Advisor changed firm

  Nicholas Joseph Peterson left J.P. Morgan Private Wealth Advisors Llc for Rockefeller Capital Management (registered 2022-05-11)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bb3a30af-c41b-e344-0da7-ac2e9673309e

First observed

Jun 3, 2015

Last observed

Sep 14, 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.