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

Brandon Michael Rose

Rockefeller Capital ManagementBD affiliatedScottsdale, Az dual registrantIAPD 6394908

Feed of 09/14/2026

Also filed as Brandon Michael Rose

At current firm

4 y

since May 5, 2022

In the industry

11 y

since Nov 12, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 May 5, 2022 · Los Angeles, Ca
Bancwest Investment Services, Inc. (Bwis) former
Mar 16, 2022 to Apr 20, 2022 · Tempe, Az
Morgan Stanley wirehouse
Mar 27, 2017 to Feb 16, 2022 · Phoenix, Az
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 13, 2014 to Jun 10, 2016 · Chandler, Az

Moves

a registration end followed by a registration begin elsewhere

Bancwest Investment Services, Inc. (Bwis) to Rockefeller Capital Management
left Apr 20, 2022, registered May 5, 2022 (15 days) · Affiliated broker-dealer or bank to another
Morgan Stanley to Bancwest Investment Services, Inc. (Bwis)
left Feb 16, 2022, registered Mar 16, 2022 (28 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley
left Jun 10, 2016, registered Mar 27, 2017 (290 days) · Wirehouse to wirehouse

Signals

Brandon Michael Rose left Bancwest Investment Services, Inc. (Bwis) for Rockefeller Capital Management (registered 2022-05-05)
Apr 20, 2022 · Advisor changed firm · fact
Brandon Michael Rose left Morgan Stanley for Bancwest Investment Services, Inc. (Bwis) (registered 2022-03-16)
Feb 16, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address