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 |
|---|---|---|---|---|---|
| Joshua Ford Murray | Rockefeller Capital Management BD affiliated | Alliancebernstein L.P. other | Other | May 5, 2026 | May 11, 2026 |
| Ron L Guidi | Rockefeller Capital Management BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2026 | Apr 2, 2026 |
| Kate Frances Laporta | Rockefeller Capital Management BD affiliated | Domain Money Advisors, LLC no RAUM | Other | Feb 20, 2026 | Apr 28, 2026 (67 d) |
| Julianne Rose | Rockefeller Capital Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2026 | Feb 17, 2026 |
| Matthew James Holbrook | Rockefeller Capital Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Jan 16, 2026 |
| Brian Riley | Rockefeller Capital Management BD affiliated | Bny Mellon Securities Corporation other | Other | Jan 28, 2026 | Feb 19, 2026 |
| Christopher W Tieland | Rockefeller Capital Management BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2024 | Jul 22, 2024 |
| Christopher Lee Fineburg | Rockefeller Capital Management mixed wealth | Next Capital Management LLC independent RIA | RIA to RIA | Oct 13, 2023 | Oct 18, 2023 |
| Matthew Thomas Lawson | Rockefeller Capital Management mixed wealth | Shade Tree Advisors LLC independent RIA | RIA to RIA | Jun 1, 2023 | Jun 30, 2023 |
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9 moves match.