DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

David Michael Sotsky

Rockefeller Capital ManagementBD affiliatedBethesda, Md dual registrantIAPD 2927727

Feed of 09/14/2026

At current firm

4 y

since Apr 29, 2022

In the industry

29 y

since Sep 15, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Rockefeller Capital Management BD affiliated current
since Apr 29, 2022 · Florham Park, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 30, 2011 to May 3, 2022 · Bethesda, Md
Convergent Wealth Advisors, LLC former
Jul 2, 2009 to Sep 29, 2011 · Potomac, Md
UBS Financial Services Inc. wirehouse
Sep 7, 2007 to May 19, 2009 · Washington, Dc
Citigroup Global Markets Inc. BD affiliated
Apr 25, 2005 to Sep 6, 2007 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

Merrill Lynch, Pierce, Fenner & Smith Incorporated to Rockefeller Capital Management
left May 3, 2022, registered Apr 29, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Convergent Wealth Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 29, 2011, registered Sep 30, 2011 (1 days) · Other
UBS Financial Services Inc. to Convergent Wealth Advisors, LLC
left May 19, 2009, registered Jul 2, 2009 (44 days) · Other
Citigroup Global Markets Inc. to UBS Financial Services Inc.
left Sep 6, 2007, registered Sep 7, 2007 (1 days) · Other

Signals

David Michael Sotsky left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2022-04-29)
May 3, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address