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 |
|---|---|---|---|---|---|
| Sanjay George | Rockefeller Capital Management BD affiliated | Corient independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2024 | Jan 19, 2024 |
| Cortlin De Maine | Rockefeller Capital Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2023 | Feb 5, 2024 (60 d) |
| Anne Fitzgerald Francissen | Rockefeller Capital Management BD affiliated | Blackrock Investment Management, LLC other | Other | Nov 27, 2023 | Jan 5, 2024 (39 d) |
| Charles Anderson Simmonds | Rockefeller Capital Management BD affiliated | Robertson Stephens independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 27, 2023 | Sep 30, 2025 (673 d) |
| Kristina Marie Charles | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 14, 2023 | Nov 13, 2023 |
| Phillip Suarez | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 7, 2023 | Oct 23, 2023 |
| Margaret Ann Richardson | Rockefeller Capital Management BD affiliated | Kayne Anderson Rudnick Investment Management, LLC other | Other | Oct 17, 2023 | Mar 7, 2024 (142 d) |
| Liam Rice | Rockefeller Capital Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Nov 16, 2023 |
| Mike Francis Smith | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 13, 2023 | Nov 14, 2023 (32 d) |
| Teresa Denise Armel | Rockefeller Capital Management BD affiliated | Next Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2023 | Jan 2, 2024 (81 d) |
| Latoya Bagwell | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 28, 2023 | Sep 27, 2023 |
| Fabienne Tremblay-Parent | Rockefeller Capital Management BD affiliated | Alliancebernstein L.P. asset manager | Other | May 15, 2023 | Oct 4, 2023 (142 d) |
| Ellen Norrie Fuller | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 4, 2023 | Dec 11, 2024 (587 d) |
| Hoyt Martin Spearman | Rockefeller Capital Management BD affiliated | William Blair & Company L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2023 | Apr 11, 2023 |
| Jacob Etler | Rockefeller Capital Management BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2023 | Apr 3, 2023 |
| Brandon Jason Avergon | Rockefeller Capital Management BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2023 | Jul 17, 2024 (533 d) |
| Victoria Lynn Fanning | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 14, 2022 | Dec 9, 2022 |
| Kostantinos Robert Kapetanos | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2022 | Dec 22, 2022 (62 d) |
| Alex Lanzkowsky | Rockefeller Capital Management BD affiliated | Davidson Kahn Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2022 | Sep 7, 2022 |
| James M. Quinn | Rockefeller Capital Management BD affiliated | Epiq Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2022 | Jul 29, 2025 (1041 d) |
| Louis Porta | Rockefeller Capital Management BD affiliated | Wilmington Trust Investment Advisors, Inc. other | Other | Sep 7, 2022 | Aug 8, 2024 (701 d) |
| Rebecca Lynn Luft | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2022 | Sep 23, 2022 |
| Cassidy Steck | Rockefeller Capital Management BD affiliated | Higgins & Schmidt Wealth Strategies LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2022 | Sep 2, 2022 |
| Alexandra Rose Humphrey | Rockefeller Capital Management BD affiliated | Blackrock Investment Management, LLC other | Other | Aug 10, 2022 | Sep 19, 2022 (40 d) |
| Brent Devon Hablutzel | Rockefeller Capital Management BD affiliated | Western Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2022 | Aug 18, 2022 |
| Augustin Delgado | Rockefeller Capital Management BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2022 | Sep 2, 2022 |
| Shanya Yallaly | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 27, 2022 | Jun 23, 2022 |
| Kyle Scott Axelrod | Rockefeller Capital Management BD affiliated | Blackrock Investment Management, LLC other | Other | Jun 15, 2022 | Jul 5, 2022 |
| Joseph Peter Bartolomeo | Rockefeller Capital Management BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2022 | Jul 24, 2024 (788 d) |
| Melissa Anne Moyer | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 26, 2022 | May 20, 2022 |
| Darren Jay Siegrist | Rockefeller Capital Management BD affiliated | Crewe Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 23, 2022 | May 1, 2023 (343 d) |
| Trenton Ray Hollas | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 4, 2022 | Apr 14, 2022 |
| Jonea Glaspie | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 14, 2022 | Apr 4, 2022 |
| Thomas John Allardice | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 23, 2022 | Jun 13, 2022 (82 d) |
| Tessa Barrett | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2022 | May 17, 2022 (61 d) |
| Rollin C Kimball | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 14, 2022 | Mar 31, 2022 (45 d) |
| Bailey J Rudolph | Rockefeller Capital Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2022 | Feb 1, 2022 |
| Carter Beck | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 17, 2021 | Feb 10, 2022 (55 d) |
| Robin Kay Barry | Rockefeller Capital Management BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Dec 8, 2021 | Dec 15, 2021 |
| Michael Beau Letzter | Rockefeller Capital Management BD affiliated | Alliancebernstein L.P. other | Other | Nov 8, 2021 | Nov 16, 2021 |
| Angela Ann Dover | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2021 | Sep 22, 2021 |
| Karina Baldizon | Rockefeller Capital Management BD affiliated | Lazard Asset Management LLC other | Other | Aug 9, 2021 | Mar 8, 2023 (576 d) |
| Jaime L Cutler | Rockefeller Capital Management BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jul 6, 2021 | Jul 15, 2021 |
| Douglas Robert Dubiel | Rockefeller Capital Management BD affiliated | Kelson Asset Management LLC asset manager | Other | Mar 16, 2021 | May 1, 2023 (776 d) |
| Zach Elan Senft | Rockefeller Capital Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2021 | Jun 5, 2021 (81 d) |
| Michelle Franco Trivers | Rockefeller Capital Management BD affiliated | Berman Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 | Jun 16, 2021 (106 d) |
| Angela Beth Cain | Rockefeller Capital Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 1, 2021 | Feb 1, 2021 |
| Sumaree White | Rockefeller Capital Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 11, 2020 | Dec 24, 2020 (196 d) |
| David Belotte | Rockefeller Capital Management independent RIA | Thrivent Advisor Network, LLC independent RIA | RIA to RIA | Jan 6, 2020 | Mar 2, 2020 (56 d) |
| Ava Arjmand | Rockefeller Capital Management independent RIA | Edge Capital Group, LLC independent RIA | RIA to RIA | Dec 16, 2019 | Jan 6, 2021 (387 d) |
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110 moves match.