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.

SEC-registered adviser

Rockefeller Capital Management

Broker-dealer affiliated wealth managerNew York, New YorkCRD 294197SEC 801-113009website IAPD

Legal name Rockefeller & Co. LLC

Latest filing Mar 31, 2026

First filing on the tape Mar 28, 2018 · 36 filings

SEC status approved since Mar 1, 2018

RAUM

$37B

reported, Item 5.F

Discretionary

86%

of RAUM

Private clients

62%

$23B individuals and HNW

Advisors

347

registered through the firm on IAPD

RAUM per advisor

$106M

derived; firm RAUM over IAPD count

Employees

602

372 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

36 filings and snapshots on the tape

RAUM$37B as of Mar 31, 2026

Mar 29, 2019$15B then

HNW client RAUM$21B as of Mar 31, 2026

Mar 29, 2019$4.3B then

State-registered IARs (5.B.3)105 as of Mar 31, 2026

Mar 29, 20190 then

Employees (5.A)602 as of Mar 31, 2026

Mar 29, 2019191 then

Private funds39 as of Mar 31, 2026

Mar 29, 201937 then

RAUM +13% over the last fiscal year+18% a year over threeIARs 111 to 105offices 47 to 51

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 17derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.1MderivedHNW RAUM over HNW clients
Average account: $3.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 86%derivedof RAUM
Institutional: 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 6.7derived52 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: -5.4%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.7%derived
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, pension consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $35B, 7,281 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is an insurance broker or agent (6.A.6)
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)
controlled by a public reporting company (10.A)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$21B57%
Pooled investment vehicles$4.7B13%
Investment companies$3.7B10%
Corporations and businesses$3.0B8.1%
Charitable organizations$2.3B6.2%
Individuals$1.6B4.3%
State and municipal entities$185M0.5%
Pension and profit-sharing plans$130M0.4%
Insurance companies$119M0.3%

Individual clients: 3,335reported
HNW clients: 2,596reported
Pension plan clients: 34reported
Charitable clients: 87reported
Accounts: 10,479reported
Financial planning clients: 101-250reported
Wrap fee programs: $0 sponsored, $9.7B managedreported
Custody of client assets: $35B for 7,281 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.62 fund_share=0.23 institutional_share=0.07 related_bd=true related_bank=true bd_reps=334.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Brittney Stephens	The Woodlands, Tx	Mar 19, 2026	14 y	2

Advisor movement

6 left, 9 joined in 12 months

net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 1.7% of current headcount8 left over 36 months

Left, latest

Joshua Ford Murray to Alliancebernstein L.P.
May 5, 2026 · Other
Ron L Guidi to Oppenheimer & Co. Inc.
Apr 17, 2026 · Affiliated broker-dealer or bank to another
Kate Frances Laporta to Domain Money Advisors, LLC
Feb 20, 2026 · Other
Julianne Rose to Morgan Stanley
Feb 19, 2026 · Affiliated broker-dealer or bank to wirehouse
Matthew James Holbrook to LPL Financial LLC
Feb 9, 2026 · Affiliated broker-dealer or bank to another
Brian Riley to Bny Mellon Securities Corporation
Jan 28, 2026 · Other
Christopher W Tieland to Hightower Advisors, LLC
Jun 28, 2024 · Affiliated broker-dealer or bank to another
Christopher Lee Fineburg to Next Capital Management LLC
Oct 13, 2023 · RIA to RIA
Matthew Thomas Lawson to Shade Tree Advisors LLC
Jun 1, 2023 · RIA to RIA

Joined, latest

Seth Alton Wheeler from Northwestern Mutual Investment Services,LLC
Nov 14, 2025 · Other
Emanuel Anthony Zalants from Wells Fargo Advisors
Nov 7, 2025 · Wirehouse to affiliated broker-dealer or bank
Brian Ross Saltzman from Morgan Stanley
Oct 20, 2025 · Wirehouse to affiliated broker-dealer or bank
Christine Diane Geoffray from Morgan Stanley
Oct 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Paul Vladimir Urbanek from Morgan Stanley
Oct 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Scott James Picklo from Morgan Stanley
Oct 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Rocio Hernandez from Morgan Stanley
Oct 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Max E Severo from Morgan Stanley
Oct 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Jennifer Graves from UBS Financial Services Inc.
Oct 1, 2025 · Wirehouse to affiliated broker-dealer or bank
Alessandra Sirabella from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aug 22, 2025 · Wirehouse to affiliated broker-dealer or bank
Thomas Joseph Livaccari from UBS Financial Services Inc.
Jul 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Kenneth J. Shapiro from UBS Financial Services Inc.
Jul 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Spenser Yeager from UBS Financial Services Inc.
Jul 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Todd W Ives from UBS Financial Services Inc.
Jul 17, 2025 · Wirehouse to affiliated broker-dealer or bank
Samantha Clarke Wagner from UBS Financial Services Inc.
Jul 17, 2025 · Wirehouse to affiliated broker-dealer or bank

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from Morgan Stanley
Oct 20, 2025 · Beverly Hills, Ca
2 joined from UBS Financial Services Inc.
Jul 28, 2025 · New York, Ny
2 joined from UBS Financial Services Inc.
Jul 22, 2025 · Golden Beach, Fl
2 joined from UBS Financial Services Inc.
Apr 25, 2025 · Bernardsville, Nj
3 joined from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Apr 21, 2025 · Chicago, Il
2 joined from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Apr 21, 2025 · New York, Ny
5 joined from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mar 31, 2025 · Dallas, Tx
3 joined from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Feb 24, 2025 · San Mateo, Ca

Teams out Teams in

Private funds

59 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Vantagerock Capital Master Fund LP	Hedge Fund	$1.4B	643	Mar 31, 2021
Titan Space Fund LP	Private Equity Fund	$633M	236	Mar 31, 2021
Rockefeller US Small Capitalization Fund Qp, L.P.no longer reported	Other Private Fund	$310M	134	Apr 1, 2013
Rockefeller Balanced Fund, LP	Other Private Fund	$244M	54	Mar 30, 2012
Rockefeller Private Equity Select Opportunities Fund I-A LP		$236M	360	Mar 31, 2026
Libra Fossil Fuel Free Fund, LP	Other Private Fund	$200M	64	Mar 31, 2017
Titan Tech Pioneers LP		$199M	607	Mar 31, 2026
Rockefeller Global Equity Fund II Qp, LPno longer reported	Other Private Fund	$184M	80	Mar 30, 2012
Rockefeller Access Fund 2015, LLC	Other Private Fund	$115M	107	Mar 30, 2016
Rockefeller & Co. U.S. Small Capitalization Fund, L.P.no longer reported	Other Private Fund	$109M	79	Mar 30, 2012
Icg Se V Titan Co-Investment Access Fund LP		$105M	261	Mar 31, 2026
Titan Falcons LP (F/K/A Spearhead Falcons LP)	Private Equity Fund	$99.0M	38	Mar 31, 2022
Libra Fund Qp, LP	Other Private Fund	$95.4M	25	Mar 31, 2014
Rockefeller Access Fund 06-I, LLC	Other Private Fund	$93.4M	94	Mar 30, 2012
Rockefeller Private Equity Partners II, LLC	Other Private Fund	$83.5M	59	Mar 31, 2023
Rockefeller U.S. Equity Fund II LP	Other Private Fund	$77.2M	7	Mar 30, 2012
Rockefeller Global Equity Fund II, LPno longer reported	Other Private Fund	$71.7M	55	Mar 30, 2012
Rockefeller Igipe International Holdings LP		$70.0M	1	Mar 31, 2026
Flp024no longer reported	Other Private Fund	$66.9M	3	Mar 30, 2012
Rockefeller Fintech Innovation Fund I LP	Private Equity Fund	$63.1M	67	Mar 29, 2024
Rockefeller International Equity Fund II LP	Other Private Fund	$57.3M	11	Mar 30, 2012
Libra Fund, LP	Other Private Fund	$54.9M	34	Mar 30, 2012
Rockefeller Global Dividend Growth Fund Qp, LPno longer reported	Other Private Fund	$48.3M	25	Mar 31, 2014
Rockefeller Global Dividend Growth Fundno longer reported	Other Private Fund	$47.4M	44	Mar 30, 2012
Rockefeller Global Equity Fund I, LPno longer reported	Other Private Fund	$46.0M	19	Mar 30, 2012
Fl002no longer reported	Other Private Fund	$44.0M	9	Mar 30, 2012
Greer Anderson Global Diversified Idf, A Segregated Series Of Greer Anderson Capital Idf LLC	Other Private Fund	$41.6M	9	Apr 1, 2013
Titan Prismre LP	Private Equity Fund	$39.8M	140	Mar 29, 2024
Fo Legacy Fund LP	Other Private Fund	$34.0M	7	Mar 29, 2019
Greer Anderson Global Long, L.P.	Other Private Fund	$28.3M	33	Aug 3, 2012
Rockefeller Private Equity Select Opportunities Fund LP I-B LP		$27.3M	5	Mar 31, 2026
Titan Ag LP	Private Equity Fund	$23.3M	86	Mar 31, 2022
Titan Thera LP	Private Equity Fund	$19.4M	64	Mar 31, 2023
Flp030no longer reported	Other Private Fund	$18.2M	11	Mar 30, 2012
Rockefeller Special Global Opportunities Distressed Fund LLC	Other Private Fund	$17.2M	54	Mar 30, 2012
Tigerglobal Access LP	Other Private Fund	$16.5M	76	Mar 31, 2022
Rockefeller Access Fund I, LLC	Other Private Fund	$13.6M	90	Mar 30, 2012
Rockefeller Access Fund 06-II LLC	Other Private Fund	$12.7M	45	Mar 30, 2012
Rockefeller U.S. Small Cap Esg Fund, LP	Other Private Fund	$10.8M	26	Mar 30, 2012
Rockefeller Access Fund II, LLC	Other Private Fund	$9.8M	65	Mar 30, 2012

All funds of Rockefeller Capital Management

Owners and control persons

Schedule A and B, latest filing

Joseph William Fenrich · Secretarycontrol
since 11/2020 · owns less than 5%
James Gregory Fleming · President & Chief Executive Officercontrol
since 03/2018 · owns less than 5%
Ashley Mccarthy · Chief Operating Officercontrol
since 12/2025 · owns less than 5%
Joseph Timothy Mccarthy · Chief Compliance Officer And Chief Counselcontrol
since 03/2018 · owns less than 5%
Nicholas Edmond Moriarty · Chief Operating Officercontrol
since 03/2018 · owns less than 5%
Thomas Alison Schachter · Chief Financial Officercontrol
since 10/2022 · owns less than 5%
Anne Patricia Solfaro · Chief Legal Officercontrol
since 12/2025 · owns less than 5%
Wendy Wong-Tsang · Chief Compliance Officercontrol
since 03/2025 · owns less than 5%
Andreas Ole Halvorsen · Limited Partnercontrol
since 04/1999 · owns 25% to 50% of Viking Global Investors LP
Christopher David Ott · Limited Partnercontrol
since 04/1999 · owns 25% to 50% of Viking Global Investors LP

Entity owners

Rfs Opco LLC · Member
direct · owns 75% or more
Dragsa 24 Cayman Ltd. · Limted Partner
indirect · owns 25% to 50% of Rockefeller Capital Management L.P.
Dragsa 24 Cayman Ltd. · Member
indirect · owns 25% to 50% of Rockefeller Capital Management General Partner L.L.C.
Dragsa 30 Cayman Ltd. · Limited Partner
indirect · owns 25% to 50% of Rockefeller Capital Management L.P.
Dragsa 30 Cayman Ltd. · Member
indirect · owns 25% to 50% of Rockefeller Capital Management General Partner L.L.C.
Rockefeller Capital Management General Partner L.L.C. · General Partner
indirect · owns F of Rockefeller Capital Management L.P.
Rockefeller Capital Management L.P. · Member
indirect · owns 75% or more of Rfs Opco LLC
Viking Global Investors LP · Voting Security Shareholder
indirect · owns 50% to 75% of Dragsa 24 Cayman Ltd.
Viking Global Investors LP · Voting Security Shareholder
indirect · owns 50% to 75% of Dragsa 30 Cayman Ltd.
Viking Global Partners LLC · General Partner
indirect · owns F of Viking Global Investors LP

Related persons

Schedule D 7.A

Rfif Gp I LLC
pooled vehicle sponsory
Rgef I LLC
pooled vehicle sponsory
Rockefeller Asset Management International Ltd
investment advisern
Rockefeller Capital Management Insurance Services, LLC
real estaten
Rockefeller Capital Management
broker-dealerinvestment advisernRAUM $100B
Rockefeller Fund Managers, LLC
bankpooled vehicle sponsory
Rockefeller Partnership Services LLC
bankpooled vehicle sponsory
Rockefeller Strategic Services LLC
broker-dealern
Rockefeller Trust Company, N.A.
custodiany
Spearhead Falcons Gp LLC
pooled vehicle sponsory
The Rockefeller Trust Company (Delaware)
y
Titan Ag Gp LLC
pooled vehicle sponsorn
Titan Prismre Gp LLC
pooled vehicle sponsory
Titan Protein Gp LLC
pooled vehicle sponsorn
Titan Space Gp LLC
pooled vehicle sponsorn
Titan Thera Gp LLC
pooled vehicle sponsorn
Vantagerock Capital Gp LLC
bankpooled vehicle sponsory
Viking Global Investors LP
investment adviserbankpooled vehicle sponsoryRAUM $78B

Advisers that list Rockefeller Capital Management as a related person

291361 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Ny, Ny	33	12	0
Atlanta, Ga	31	12	0
New York, Ny · principal	18	3	0
Saratoga Springs, Ny	17	1	0
Dallas, Tx	16	1	1
Los Angeles, Ca	15	5	2
Stamford, Ct	12	7	0
San Francisco, Ca	11	0	2
Newtown, Pa	10	9	0
Newport Beach, Ca	10	0	0
Fort Lauderdale, Fl	9	3	0
Florham Park, Nj	8	1	1
Chicago, Il	8	1	1
Palm Beach Gardens, Fl	8	6	1
Walnut Creek, Ca	7	1	0
Conshohocken, Pa	7	3	0
Scottsdale, Az	7	0	0
Charlotte, Nc	7	4	0
Paramus, Nj	7	5	0
Arlington, Va	6	5	0

All 46 offices

Offices

Schedule D 1.F, the 25 largest

Saratoga Springs, NY23 employees
Oak Brook, IL10 employees
San Francisco, CA5 employees
Los Gatos, CA4 employees
Conshohocken, PA4 employees
Cincinnati, OH3 employees
Boston, MA3 employees
Atlanta, GA2 employees
Paramus, NJ2 employees
Mountain View, CA2 employees
Wellington, FL1 employees
Jackson, WY1 employees
Los Angeles, CA1 employees
Princeton, NJ1 employees
Stamford, CT1 employees
Arlington, VA1 employees

ADV anomalies

8 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Mar 31, 2026
Wong-Tsang, Wendy (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
Solfaro, Patricia, Anne (CHIEF LEGAL OFFICER) appeared on Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
McCarthy, Ashley (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
MORIARTY, EDMOND, NICHOLAS (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
HALVORSEN, OLE, ANDREAS (LIMITED PARTNER) left Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
Fenrich, William, Joseph (SECRETARY) left Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
MCCARTHY, TIMOTHY, JOSEPH (CHIEF COMPLIANCE OFFICER AND CHIEF COUNSEL) left Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Mar 31, 2026
OTT, DAVID, CHRISTOPHER (LIMITED PARTNER) left Schedule A between the filings of 2023-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 9,530 to 10,479
Dec 24, 2025 to Mar 31, 2026
Advisory employees · 157 to 372
Dec 24, 2025 to Mar 31, 2026
BD registered reps · 144 to 334
Dec 24, 2025 to Mar 31, 2026
Charity clients · 58 to 87
Dec 24, 2025 to Mar 31, 2026
Corporate clients · 24 to 374
Dec 24, 2025 to Mar 31, 2026
HNW clients · 5,326 to 2,596
Dec 24, 2025 to Mar 31, 2026
Individual clients · 129 to 3,335
Dec 24, 2025 to Mar 31, 2026
Pension plan clients · 4 to 34
Dec 24, 2025 to Mar 31, 2026
Pooled vehicle clients · 78 to 47
Dec 24, 2025 to Mar 31, 2026
Assets in custody · $33B to $35B
Dec 24, 2025 to Mar 31, 2026
Employees · 554 to 602
Dec 24, 2025 to Mar 31, 2026
Insurance-licensed employees · 111 to 105
Dec 24, 2025 to Mar 31, 2026
Financial planning clients · 251-500 to 101-250
Dec 24, 2025 to Mar 31, 2026
State-registered IARs · 111 to 105
Dec 24, 2025 to Mar 31, 2026
Other offices · 47 to 51
Dec 24, 2025 to Mar 31, 2026
Private funds · 45 to 39
Dec 24, 2025 to Mar 31, 2026
Discretionary RAUM · $30B to $32B
Dec 24, 2025 to Mar 31, 2026
HNW RAUM · $23B to $21B
Dec 24, 2025 to Mar 31, 2026
Individual RAUM · $71.4M to $1.6B
Dec 24, 2025 to Mar 31, 2026
Non-discretionary RAUM · $3.0B to $5.0B
Dec 24, 2025 to Mar 31, 2026
Pension RAUM · $2.3M to $130M
Dec 24, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $6.5B to $4.7B
Dec 24, 2025 to Mar 31, 2026
RAUM · $33B to $37B
Dec 24, 2025 to Mar 31, 2026
Wrap assets (manager) · $5.6B to $9.7B
Dec 24, 2025 to Mar 31, 2026
Accounts · 9,424 to 9,530
Oct 23, 2024 to Apr 19, 2025
Advisory employees · 161 to 157
Oct 23, 2024 to Apr 19, 2025
BD registered reps · 175 to 144
Oct 23, 2024 to Apr 19, 2025
Charity clients · 83 to 58
Oct 23, 2024 to Apr 19, 2025
Corporate clients · 64 to 24
Oct 23, 2024 to Apr 19, 2025
HNW clients · 3,366 to 5,326
Oct 23, 2024 to Apr 19, 2025
Individual clients · 514 to 129
Oct 23, 2024 to Apr 19, 2025
Pension plan clients · 11 to 4
Oct 23, 2024 to Apr 19, 2025
Pooled vehicle clients · 59 to 78
Oct 23, 2024 to Apr 19, 2025
Assets in custody · $37B to $33B
Oct 23, 2024 to Apr 19, 2025
Employees · 512 to 554
Oct 23, 2024 to Apr 19, 2025
Insurance-licensed employees · 6 to 111
Oct 23, 2024 to Apr 19, 2025
Financial planning clients · 251-500 to 251-500
Oct 23, 2024 to Apr 19, 2025
State-registered IARs · 128 to 111
Oct 23, 2024 to Apr 19, 2025
Other offices · 16 to 47
Oct 23, 2024 to Apr 19, 2025
Private funds · 46 to 45
Oct 23, 2024 to Apr 19, 2025

Signals

45 dated events

Joshua Ford Murray left Rockefeller Capital Management for Alliancebernstein L.P. (registered 2026-05-11)
May 5, 2026 · Advisor changed firm · fact
Ron L Guidi left Rockefeller Capital Management for Oppenheimer & Co. Inc. (registered 2026-04-02)
Apr 17, 2026 · Advisor changed firm · fact
Hunter Stewart Kral no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Mar 10, 2026 · Advisor departure · fact
Nelson Frederick Faro no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Feb 24, 2026 · Advisor departure · fact
Kate Frances Laporta left Rockefeller Capital Management for Domain Money Advisors, Llc (registered 2026-04-28)
Feb 20, 2026 · Advisor changed firm · fact
Julianne Rose left Rockefeller Capital Management for Morgan Stanley (registered 2026-02-17)
Feb 19, 2026 · Advisor changed firm · fact
Matthew James Holbrook left Rockefeller Capital Management for Lpl Financial Llc (registered 2026-01-16)
Feb 9, 2026 · Advisor changed firm · fact
Brian Riley left Rockefeller Capital Management for Bny Mellon Securities Corporation (registered 2026-02-19)
Jan 28, 2026 · Advisor changed firm · fact
Katherine Ann Barnhart no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Jan 5, 2026 · Advisor departure · fact
Christopher Adam Shepherd no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Dec 16, 2025 · Advisor departure · fact
Thura Kyaw Aung no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Nicholas Joseph Peterson no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Jack Steven Mutchnik no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Yajaira Serrano no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Jackson Keith Traxler no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Amanda Louise Sass no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
Benjamin Joseph Helvey no longer registered at Rockefeller Capital Management; no later IA registration on IAPD
Nov 6, 2025 · Advisor departure · fact
2 advisors left Morgan Stanley (Beverly Hills, CA) for Rockefeller Capital Management on the same day
Oct 20, 2025 · Team lift-out · derived
3 advisors left UBS Financial Services Inc. (New York, NY) for Rockefeller Capital Management a day apart
Jul 28, 2025 · Team lift-out · derived
3 advisors left UBS Financial Services Inc. (Golden Beach, FL) for Rockefeller Capital Management within 3 days
Jul 22, 2025 · Team lift-out · derived
2 advisors left UBS Financial Services Inc. (Bernardsville, NJ) for Rockefeller Capital Management within 3 days
Apr 25, 2025 · Team lift-out · derived
4 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Chicago, IL) for Rockefeller Capital Management on the same day
Apr 21, 2025 · Team lift-out · derived
2 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (New York, NY) for Rockefeller Capital Management on the same day
Apr 21, 2025 · Team lift-out · derived
Rockefeller Capital Management reported 47 offices beyond its principal office, up from 16 (2024-10-23 to 2025-04-19)
Apr 19, 2025 · Office count change · derived
5 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Dallas, TX) for Rockefeller Capital Management on the same day
Mar 31, 2025 · Team lift-out · derived
4 advisors left Janney Montgomery Scott LLC (Albany, NY) for Rockefeller Capital Management on the same day
Feb 24, 2025 · Team lift-out · derived
3 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Kentfield, CA) for Rockefeller Capital Management on the same day
Feb 24, 2025 · Team lift-out · derived
2 advisors left Morgan Stanley (Orland Park, IL) for Rockefeller Capital Management on the same day
Feb 6, 2025 · Team lift-out · derived
Christopher W Tieland left Rockefeller Capital Management for Hightower Advisors, Llc (registered 2024-07-22)
Jun 28, 2024 · Advisor changed firm · fact
Rockefeller Capital Management reported 128 state-registered advisory representatives, up from 89 (2023-11-03 to 2024-03-29)
Mar 29, 2024 · Advisor headcount change · derived

Across DFX

shared identifiers only, never a name match

Rockefeller Capital Management · Family Offices
shared crd · office
Rockefeller Capital Management · Independent Sponsors
shared crd · capital_provider
Rockefeller Capital Management · Private Equity
shared crd · intermediary
Rockefeller Capital Management · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/rockefeller-capital-management/mycompanreportedpublic record, Form ADV, Sep 17, 2026
Website: rockefelleretfs.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 212-549-5100reportedpublic record, Form ADV, Mar 31, 2026

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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $106Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026