DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

NICK M BAPIS

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

New York, NY | Salt Lake City, UT

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:fa94c6a4-17e0-8dd2-bddc-5d53d3ad2459

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 29, 1991 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: May 15, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S63
First exam: May 15, 1980
First registration: Nov 29, 1991
Dual registered: yes, broker-dealer
IAPD individual key: 11962

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 18, 2024	n/a	yes	Salt Lake City, UT	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Jun 3, 2019	n/a	yes	Salt Lake City, UT\|New York, NY	Current employment
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Nov 7, 2008	Sep 12, 2018	no	CHICAGO, IL\|SALT LAKE CITY, UT	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Nov 10, 2008	no	SALT LAKE CITY, UT	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 29, 1991	Apr 2, 2007	no	SALT LAKE CY, UT\|SALT LAKE CITY, UT	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
HIGHTOWER ADVISORS, LLC	ROCKEFELLER CAPITAL MANAGEMENT	Sep 12, 2018	Jun 3, 2019	264	Firm change	Ibd to RIA
MORGAN STANLEY & CO. LLC	HIGHTOWER ADVISORS, LLC	Nov 10, 2008	Nov 7, 2008	-3	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Dec 18, 2024 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jun 3, 2019 to presentfactForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 7, 2008 to Sep 12, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Nov 10, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 29, 1991 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.