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

May 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S66|S63

First exam

Feb 19, 2016

First registration

Mar 2, 2017

Dual registered

yes, broker-dealer

Other names

HARPER JEFFREY HICKS

IAPD individual key

6523926

• Occurred

  Feb 14, 2024
  Advisor changed firm

  Harper J Hicks left Morgan Stanley for Rockefeller Capital Management (registered 2024-02-08)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f6095ca2-a562-d83b-ff6a-9f082240c8ee

First observed

Mar 2, 2017

Last observed

Sep 14, 2026 6 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.