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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Wayne ROBERT Gelineau

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

LOS ANGELES, CA | Los Angeles, CA

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:bba73d60-d63c-5d49-e606-2d5198b07f4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2003 to Sep 15, 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: Apr 13, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Apr 13, 1995
First registration: Jul 30, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2587578

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	Feb 28, 2020	n/a	yes	LOS ANGELES, CA\|Los Angeles, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Mar 2, 2020	no	LOS ANGELES, CA\|SANTA MONICA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 16, 2008	Oct 23, 2009	no	LOS ANGELES, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 15, 2007	Mar 27, 2008	no	SANTA MONICA, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 25, 2006	Dec 20, 2006	no	BEVERLY HILLS, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 30, 2003	Dec 20, 2006	no	BEVERLY HILLS, CA\|Beverly Hills, CA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ROCKEFELLER CAPITAL MANAGEMENT	Mar 2, 2020	Feb 28, 2020	-3	Firm change	Wirehouse to RIA
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
LPL FINANCIAL LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Mar 27, 2008	Apr 16, 2008	20	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	LPL FINANCIAL LLC	Dec 20, 2006	Aug 15, 2007	238	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Dec 20, 2006	Apr 25, 2006	-239	Channel change	Other

Team moves

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

Team	Left	Joined	From	Kind
7691:291361:CA:2020-03-02	Mar 2, 2020	Feb 28, 2020	SANTA MONICA, CA	Firm change

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Feb 28, 2020 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Mar 2, 2020factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 16, 2008 to Oct 23, 2009factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 15, 2007 to Mar 27, 2008factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 25, 2006 to Dec 20, 2006factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 30, 2003 to Dec 20, 2006factForm ADV

Dated events

No dated event names this entity yet.