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.
Advisor moves
Departures from Rockefeller Capital Management
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Charles Hall | Rockefeller Capital Management BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jul 16, 2026 |
| Hunter Patrick Pemrick | Rockefeller Capital Management BD affiliated | Cerity Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2026 | Jul 2, 2026 |
| Shay W Scruggs | Rockefeller Capital Management BD affiliated | Arax Advisory Partners BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2026 | Aug 19, 2026 (71 d) |
| Justin Kwok | Rockefeller Capital Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 5, 2026 | Jun 23, 2026 |
| Zachary Lane Samples | Rockefeller Capital Management BD affiliated | Lcp Institutional, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2026 | May 27, 2026 |
| Joseph D Roberts | Rockefeller Capital Management BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2026 | May 20, 2026 |
| Vincent Joseph Stancato | Rockefeller Capital Management BD affiliated | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2026 | Jun 22, 2026 (33 d) |
| William J Cesario | Rockefeller Capital Management BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2026 | Mar 18, 2025 |
| Bethany Paige Tice | Rockefeller Capital Management BD affiliated | Spire Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2026 | May 12, 2026 |
| Jack Edward Rimbach | Rockefeller Capital Management BD affiliated | Empirical Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 | May 5, 2026 |
| Matthew Wallace Cooper | Rockefeller Capital Management BD affiliated | Cresset Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2026 | Apr 16, 2026 |
| Adam Mustafic | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 28, 2026 | Apr 17, 2026 |
| Kevin Allen Heckman | Rockefeller Capital Management BD affiliated | Easterly Investment Partners LLC other | Other | Apr 6, 2026 | Apr 13, 2026 |
| Jennifer Diane Wolf | Rockefeller Capital Management BD affiliated | Jordan Park Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 | May 13, 2026 (54 d) |
| Sean Patrick Connor | Rockefeller Capital Management BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2026 | Mar 10, 2026 |
| Clare Elizabeth Dandridge | Rockefeller Capital Management BD affiliated | Range Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2026 | Jan 20, 2026 |
| Sarah S Trippe | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 26, 2025 | Feb 11, 2026 (47 d) |
| Christian Ordonez | Rockefeller Capital Management BD affiliated | The Coury Firm independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 26, 2025 | Feb 5, 2026 (41 d) |
| Wenyi Wang | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 24, 2025 | Mar 16, 2026 (82 d) |
| Adoree D Lee | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 12, 2025 | Dec 12, 2025 |
| Connor Ian Wiggins | Rockefeller Capital Management BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2025 | Dec 5, 2025 |
| Daniel William Gibson | Rockefeller Capital Management BD affiliated | Msh Capital Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 14, 2025 | Nov 11, 2025 |
| Jacobo Koen Ruben | Rockefeller Capital Management BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Aug 20, 2026 (328 d) |
| Mason Scott King | Rockefeller Capital Management BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2025 | Aug 22, 2025 |
| Erica R Moyer | Rockefeller Capital Management BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 27, 2025 | Feb 17, 2026 (174 d) |
| Elizabeth Jean Yermes | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 18, 2025 | Feb 27, 2026 (193 d) |
| Ogden Timpson | Rockefeller Capital Management BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Aug 15, 2025 | Aug 14, 2025 |
| Yun Cho Messina | Rockefeller Capital Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 | May 22, 2026 (280 d) |
| Jake Balsley | Rockefeller Capital Management BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Nov 4, 2025 (81 d) |
| Grace Quattrucci | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2025 | Aug 18, 2025 |
| Alexandra Amoruso Kennedy | Rockefeller Capital Management BD affiliated | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2025 | Jan 15, 2026 (178 d) |
| Rachel Jane Portuondo | Rockefeller Capital Management BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2025 | Jul 23, 2025 |
| Marcelo Tresierra | Rockefeller Capital Management BD affiliated | Kanen Wealth Management LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2025 | Jan 6, 2026 (189 d) |
| Daniel Rosone | Rockefeller Capital Management BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Jun 26, 2025 | Jun 6, 2025 |
| Jason Mcmillen | Rockefeller Capital Management BD affiliated | Avestar Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2025 | Jul 2, 2025 |
| Chris M Iwamasa | Rockefeller Capital Management BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2025 | May 15, 2025 |
| Claudia Ivett Ramirez | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 29, 2025 | Apr 24, 2025 |
| Jake Edward Taylor | Rockefeller Capital Management BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 17, 2025 |
| Blair Harrington | Rockefeller Capital Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 16, 2025 | Apr 14, 2025 |
| Scott Crawford Lemen | Rockefeller Capital Management BD affiliated | Captrust institutional | Other | Apr 7, 2025 | May 5, 2025 |
| Connor William Gillis | Rockefeller Capital Management BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2025 | Feb 19, 2025 |
| Ryan Michael Hayes | Rockefeller Capital Management BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2025 | Mar 24, 2025 (34 d) |
| Alyssa Paige Saponare | Rockefeller Capital Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2025 | Feb 20, 2025 |
| Marjori S Brown | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 10, 2025 | Feb 10, 2025 |
| Isaac Mulder Martin | Rockefeller Capital Management BD affiliated | Members Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2025 | Sep 8, 2025 (224 d) |
| Claire E Rinehart | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2024 | Dec 18, 2024 |
| Augustine Chukwuebuka Okoye | Rockefeller Capital Management BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2024 | Jan 30, 2025 (52 d) |
| Mark Stephen Pelersi | Rockefeller Capital Management BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2024 | Sep 9, 2024 |
| Claire Marie Love | Rockefeller Capital Management BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2024 | Jul 24, 2025 (328 d) |
| Cooper Lee Brown | Rockefeller Capital Management BD affiliated | Oakworth Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2024 | May 14, 2026 (645 d) |
| Christy Elaine Pedersen | Rockefeller Capital Management BD affiliated | Jmg Financial Group Ltd independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2024 | Aug 21, 2024 (51 d) |
| Justin Lam | Rockefeller Capital Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Oct 6, 2024 (116 d) |
| Ha Nguyen | Rockefeller Capital Management BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2024 | Sep 18, 2024 (100 d) |
| Mary Beth Christine Ruth | Rockefeller Capital Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 29, 2024 | Dec 17, 2024 (202 d) |
| Maria Ann Schuster | Rockefeller Capital Management BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Mar 19, 2024 | Jul 28, 2025 (496 d) |
| Bradley William Bodmer | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2024 | Mar 14, 2024 |
| Karen Marie Creel | Rockefeller Capital Management BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2024 | Mar 19, 2025 (390 d) |
| Ryan Gibbons | Rockefeller Capital Management BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2024 | Aug 5, 2024 (164 d) |
| Sarah Scholz Mijts | Rockefeller Capital Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 20, 2024 | Feb 20, 2024 |
| Samuel D Frankfort | Rockefeller Capital Management BD affiliated | Corient independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2024 | Jan 19, 2024 |
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110 moves match.