DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

PATRICK LEE MOORE

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Dallas, TX | Wilson, WY

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:cc9a66ef-e772-a7af-bc73-59174ce1717d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 27, 2000 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: Dec 18, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 18, 1992
First registration: Jul 27, 2000
Dual registered: yes, broker-dealer
Other names: PATRICK LEE MOORE|LEE MOORE
IAPD individual key: 2262059

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	Dec 8, 2025	n/a	yes	Wilson, WY\|Dallas, TX	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 13, 2015	Dec 24, 2025	no	DALLAS, TX\|Wilson, WY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Aug 21, 2008	Dec 9, 2015	no	DALLAS, TX	Previous registration
LEHMAN BROTHERS INC.	n/a	Aug 5, 2005	Sep 5, 2008	no	DALLAS, TX\|DALLAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 27, 2000	Aug 9, 2005	no	DALLAS, TX	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
UBS FINANCIAL SERVICES INC.	ROCKEFELLER CAPITAL MANAGEMENT	Dec 24, 2025	Dec 8, 2025	-16	Firm change	Wirehouse to ibd
CREDIT SUISSE SECURITIES (USA) LLC	UBS FINANCIAL SERVICES INC.	Dec 9, 2015	Nov 13, 2015	-26	Bulk transfer	Other
LEHMAN BROTHERS INC.	CREDIT SUISSE SECURITIES (USA) LLC	Sep 5, 2008	Aug 21, 2008	-15	Bulk transfer	Other
MORGAN STANLEY DW INC.	LEHMAN BROTHERS INC.	Aug 9, 2005	Aug 5, 2005	-4	Firm change	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 13, 2015 to Dec 24, 2025factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Aug 21, 2008 to Dec 9, 2015factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Aug 5, 2005 to Sep 5, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 27, 2000 to Aug 9, 2005factForm ADV

Dated events

Occurred
Dec 24, 2025
Advisor changed firm
Patrick Lee Moore left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2025-12-08)
Form ADVobserved 4 days ago