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.
Former SEC-registered adviser
Rockefeller & Co., Inc.
Legal name Rockefeller & Co., Inc
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2012 · 32 filings
RAUM
$16B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
29%
$4.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
159
64 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
39
$2.4B gross assets
History
32 filings and snapshots on the tape
RAUM$16B as of Mar 29, 2018
Mar 30, 2012$7.1B then
HNW client RAUM: $4.6B
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Apr 1, 20132 then
Employees (5.A)159 as of Mar 29, 2018
Apr 1, 2013118 then
Private funds39 as of Mar 29, 2018
Mar 30, 201267 then
RAUM +53% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
- RAUM per advisor
- $16BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 714derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $5.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 159.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +53%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $19B, 1,010 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.6B29%
- Banks and thrifts$4.0B25%
- Pooled investment vehicles$3.6B23%
- Investment companies$1.2B7.7%
- Charitable organizations$1.2B7.5%
- Sovereign wealth funds$517M3.3%
- State and municipal entities$392M2.5%
- Insurance companies$219M1.4%
- Individuals$75.0M0.5%
- Pension and profit-sharing plans$43.8M0.3%
- Corporations and businesses$13.5M0.1%
- Individual clients
- 268reported
- HNW clients
- 446reported
- Pension plan clients
- n/areported
- Charitable clients
- 79reported
- Accounts
- 2,731reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19B for 1,010 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Matthew David Gelfand to Moreland Associates, LLCMay 16, 2018 · Other
- Michael R Marsh to Northern Trust Investments, IncorporatedApr 8, 2014 · Other
Joined, latest
- Matthew David Gelfand from Potomac Asset Management Co IncFeb 1, 2012 · Other
- Michael R Marsh from Lynx Investment Advisory, LLCDec 1, 2011 · Other
Private funds
37 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Flp004no longer reported | Other Private Fund | $398M | 11 | Mar 30, 2012 |
| Flp020no longer reported | Other Private Fund | $316M | 2 | Mar 30, 2012 |
| Flp006no longer reported | Other Private Fund | $221M | 6 | Mar 30, 2012 |
| Rockefeller Tax Exempt Income Fund - Ny LPno longer reported | Other Private Fund | $151M | 75 | Mar 30, 2012 |
| Flp028no longer reported | Other Private Fund | $121M | 16 | Mar 30, 2012 |
| Rockefeller Tax Exempt Income Fund - National LPno longer reported | Other Private Fund | $58.5M | 90 | Mar 30, 2012 |
| Rockefeller Taxable Bond Fund II Qp, L.P.no longer reported | Other Private Fund | $50.9M | 52 | Apr 1, 2013 |
| Flp023no longer reported | Other Private Fund | $45.0M | 6 | Mar 30, 2012 |
| Rockefeller Taxable Bond Fund II LPno longer reported | Other Private Fund | $29.4M | 65 | Mar 30, 2012 |
| Rockefeller Select Equity Fund, L.P.no longer reported | Other Private Fund | $27.9M | 32 | Apr 1, 2013 |
| Rockefeller Global Financial Services Recovery Fund LLCno longer reported | Hedge Fund | $27.6M | 12 | Mar 30, 2012 |
| Flp033no longer reported | Other Private Fund | $19.5M | 1 | Mar 30, 2012 |
| Flp031no longer reported | Other Private Fund | $18.8M | 3 | Mar 30, 2012 |
| Flp022no longer reported | Other Private Fund | $18.1M | 2 | Mar 30, 2012 |
| Flp021no longer reported | Other Private Fund | $17.4M | 2 | Mar 30, 2012 |
| Flp007no longer reported | Other Private Fund | $16.9M | 13 | Mar 30, 2012 |
| Flp008no longer reported | Other Private Fund | $12.5M | 3 | Mar 30, 2012 |
| Flp015no longer reported | Other Private Fund | $11.3M | 5 | Mar 30, 2012 |
| Flp019no longer reported | Other Private Fund | $11.0M | 3 | Mar 30, 2012 |
| Flp014no longer reported | Other Private Fund | $10.2M | 5 | Mar 30, 2012 |
| Rockefeller Venture Opportunities Fund LPno longer reported | Other Private Fund | $10.0M | 53 | Mar 30, 2012 |
| Flp009no longer reported | Other Private Fund | $5.9M | 10 | Mar 30, 2012 |
| Flp012no longer reported | Other Private Fund | $4.4M | 2 | Mar 30, 2012 |
| Flp032no longer reported | Other Private Fund | $4.1M | 3 | Mar 30, 2012 |
| Flp025no longer reported | Other Private Fund | $4.0M | 3 | Mar 30, 2012 |
| Flp001no longer reported | Other Private Fund | $3.7M | 2 | Mar 30, 2012 |
| Flp003no longer reported | Other Private Fund | $3.4M | 5 | Mar 30, 2012 |
| Flp029no longer reported | Other Private Fund | $3.1M | 4 | Mar 30, 2012 |
| Flp010no longer reported | Other Private Fund | $3.0M | 2 | Mar 30, 2012 |
| Flp005no longer reported | Other Private Fund | $1.8M | 8 | Mar 30, 2012 |
| Flp034no longer reported | Other Private Fund | $1.4M | 8 | Apr 30, 2013 |
| Rockefeller Financial Asia LLCno longer reported | Hedge Fund | $1.1M | 32 | Mar 30, 2012 |
| Flp011no longer reported | Other Private Fund | $1.1M | 2 | Mar 30, 2012 |
| Flp026no longer reported | Other Private Fund | $798,699 | 2 | Mar 30, 2012 |
| Flp013no longer reported | Other Private Fund | $671,652 | 2 | Mar 30, 2012 |
| Rockefeller Venture Fund LLC | Venture Capital Fund | $180,034 | 24 | Mar 30, 2012 |
| Flp018no longer reported | Other Private Fund | $43,714 | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- James Gregory Fleming · President And Chief Executive Officercontrolsince 03/2018 · owns less than 5%
- Marie Yvette Garcia · General Counsel & Secretarycontrolsince 03/2018 · owns less than 5%
- Joseph Timothy Mccarthy · Chief Compliance Officer & Assistant Secretarycontrolsince 03/2018 · owns less than 5%
- N Edmond Moriarty · Chief Financial Officercontrolsince 03/2018 · owns less than 5%
- Hardit Singh · Chief Operating Officercontrolsince 03/2018 · owns less than 5%
- Andreas Ole Halvorsen · Membercontrolsince 04/1999 · owns 50% to 75% of Viking Global Partners LLC
- Andreas Ole Halvorsen · Limited Partnercontrolsince 04/1999 · owns 25% to 50% of Viking Global Investors LP
- Christopher David Ott · Membercontrolsince 04/1999 · owns 50% to 75% of Viking Global Partners LLC
- Christopher David Ott · Limited Partnercontrolsince 04/1999 · owns 25% to 50% of Viking Global Investors LP
Entity owners
- Rfs Opco LLC · Memberdirect · owns 75% or more
- Dragsa 24 Cayman Ltd. · Limited Partnerindirect · owns 25% to 50% of Rockefeller Capital Management L.P.
- Dragsa 24 Cayman Ltd. · Memberindirect · owns 25% to 50% of Rockefeller Capital Management General Partner L.L.C.
- Dragsa 30 Cayman Ltd. · Limited Partnerindirect · owns 25% to 50% of Rockefeller Capital Management L.P.
- Dragsa 30 Cayman Ltd. · Memberindirect · owns 25% to 50% of Rockefeller Capital Management General Partner L.L.C.
- Rockefeller Capital Management General Partner L.L.C. · General Partnerindirect · owns F of Rockefeller Capital Management L.P.
- Rockefeller Capital Management L.P. · Memberindirect · owns 75% or more of Rfs Opco LLC
- Viking Global Investors LP · Voiting Security Shareholderindirect · owns 75% or more of Dragsa 24 Cayman Ltd.
- Viking Global Investors LP · Voting Security Shareholderindirect · owns 75% or more of Dragsa 30 Cayman Ltd.
- Viking Global Partners LLC · General Partnerindirect · owns F of Viking Global Investors LP
Related persons
Schedule D 7.A
- Rockefeller Fund Managers, LLCbankpooled vehicle sponsory
- Rockefeller Partnership Services LLCbankpooled vehicle sponsory
- Rockefeller Trust Company, N.A.custodiany
- The Rockefeller Trust Company (Delaware)y
- Viking Global Investors LPinvestment adviserbankpooled vehicle sponsoryRAUM $78B
Offices
Schedule D 1.F, the 25 largest
- Boston, MA2 employees
- Washington, DC2 employees
What changed
consecutive filings, newest first
- Accounts · 2,830 to 2,731Aug 16, 2017 to Mar 29, 2018
- Advisory employees · 69 to 64Aug 16, 2017 to Mar 29, 2018
- BD registered reps · 0 to 3Aug 16, 2017 to Mar 29, 2018
- Charity clients · unset to 79.0Aug 16, 2017 to Mar 29, 2018
- Corporate clients · unset to 6.0Aug 16, 2017 to Mar 29, 2018
- HNW clients · unset to 446.0Aug 16, 2017 to Mar 29, 2018
- Individual clients · unset to 268.0Aug 16, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 42.0Aug 16, 2017 to Mar 29, 2018
- Assets in custody · $15B to $19BAug 16, 2017 to Mar 29, 2018
- Employees · 151 to 159Aug 16, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Aug 16, 2017 to Mar 29, 2018
- Private funds · 40 to 39Aug 16, 2017 to Mar 29, 2018
- Discretionary RAUM · $10B to $16BAug 16, 2017 to Mar 29, 2018
- HNW RAUM · unset to 4581197841.0Aug 16, 2017 to Mar 29, 2018
- Individual RAUM · unset to 75033090.0Aug 16, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $170M to $304MAug 16, 2017 to Mar 29, 2018
- Pension RAUM · unset to 43837644.0Aug 16, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 3585331945.0Aug 16, 2017 to Mar 29, 2018
- RAUM · $10B to $16BAug 16, 2017 to Mar 29, 2018
- Related adviser · false to trueAug 16, 2017 to Mar 29, 2018
- Accounts · 2,732 to 2,830Jan 3, 2017 to Mar 31, 2017
- Assets in custody · $13B to $15BJan 3, 2017 to Mar 31, 2017
- Employees · 154 to 151Jan 3, 2017 to Mar 31, 2017
- Financial planning clients · 251-500 to 101-250Jan 3, 2017 to Mar 31, 2017
- Private funds · 41 to 40Jan 3, 2017 to Mar 31, 2017
- Discretionary RAUM · $10B to $10BJan 3, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $168M to $170MJan 3, 2017 to Mar 31, 2017
- RAUM · $10B to $10BJan 3, 2017 to Mar 31, 2017
- Accounts · 2,731 to 2,732Mar 30, 2016 to May 13, 2016
- Discretionary RAUM · $10B to $10BMar 30, 2016 to May 13, 2016
- RAUM · $10B to $10BMar 30, 2016 to May 13, 2016
- Accounts · 2,018 to 2,731Feb 4, 2016 to Mar 30, 2016
- Advisory employees · 58 to 69Feb 4, 2016 to Mar 30, 2016
- Assets in custody · $9.0B to $13BFeb 4, 2016 to Mar 30, 2016
- Employees · 131 to 154Feb 4, 2016 to Mar 30, 2016
- Private funds · 40 to 41Feb 4, 2016 to Mar 30, 2016
- Discretionary RAUM · $9.4B to $10BFeb 4, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $375M to $168MFeb 4, 2016 to Mar 30, 2016
- RAUM · $9.8B to $10BFeb 4, 2016 to Mar 30, 2016
- Accounts · 2,102 to 2,018Oct 3, 2014 to Mar 31, 2015
Signals
1 dated events
- Rockefeller & Co., Inc. reported RAUM $15.8B, up 53% from $10.3B (2017-08-16 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Rockefeller & Co., Inc. · Private Equityshared crd · organization
- Rockefeller & Co., Inc. · Venture Capitalshared crd · organization
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026