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

DANIEL WADE SPAINHOUR

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Charlotte, NC | Florham Park, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 16, 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: Jun 30, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jun 30, 2003
First registration: Jul 16, 2003
Dual registered: yes, broker-dealer
Other names: DANIEL W SPAINHOUR
IAPD individual key: 3161970

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	Oct 6, 2023	n/a	yes	Florham Park, NJ\|Charlotte, NC	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Sep 16, 2009	Oct 9, 2023	no	MOUNT AIRY, NC\|Washington, DC\|Mount Airy, NC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 16, 2009	no	Washington, DC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jun 1, 2009	no	WASHINGTON, DC\|NEW YORK, NY\|WASHINGTON, DC	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jul 16, 2003	Feb 21, 2006	no	WASHINGTON, DC	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
JANNEY MONTGOMERY SCOTT LLC	ROCKEFELLER CAPITAL MANAGEMENT	Oct 9, 2023	Oct 6, 2023	-3	Firm change	Ibd to ibd
MORGAN STANLEY	JANNEY MONTGOMERY SCOTT LLC	Sep 16, 2009	Sep 16, 2009	0	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Oct 6, 2023 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Sep 16, 2009 to Oct 9, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 16, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jul 16, 2003 to Feb 21, 2006factForm ADV

Dated events

Occurred
Oct 9, 2023
Advisor changed firm
Daniel Wade Spainhour left Janney Montgomery Scott Llc for Rockefeller Capital Management (registered 2023-10-06)
Form ADVobserved 5 days ago