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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

KANWAR MANJOT SINGH

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Chicago, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 13, 2003 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: Jul 30, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S66
First exam: Jul 30, 2003
First registration: Nov 13, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4685900

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	Apr 17, 2025	n/a	yes	Chicago, IL	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Apr 17, 2025	n/a	yes	Chicago, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 10, 2014	Apr 21, 2025	no	CHICAGO, IL\|DALLAS, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 25, 2005	Oct 20, 2014	no	OAKBROOK TERRACE, IL\|OAKBROOK TERRACE, IL	Previous registration
S4 CAPITAL, LLC	n/a	Nov 13, 2003	Jul 22, 2005	no	CHICAGO, IL	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	Apr 21, 2025	Apr 17, 2025	-4	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2014	Oct 10, 2014	-10	Firm change	Wirehouse to wirehouse
S4 CAPITAL, LLC	UBS FINANCIAL SERVICES INC.	Jul 22, 2005	May 25, 2005	-58	Firm change after gap	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Apr 17, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Apr 17, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 10, 2014 to Apr 21, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 25, 2005 to Oct 20, 2014factForm ADV
→ S4 CAPITAL, LLCRegistered adviserregistration: previous registration
Nov 13, 2003 to Jul 22, 2005factForm ADV

Dated events

Occurred
Apr 21, 2025
Advisor changed firm
Kanwar Manjot Singh left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2025-04-17)
Form ADVobserved 5 days ago