DFX Intelligence
RIA Intelligence
Advisor moves
Arrivals at 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 |
|---|---|---|---|---|---|
| Michael Aaron Rosner | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2026 | May 5, 2026 |
| Robert Alric Barrett | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2026 | May 5, 2026 |
| Adam Hospodar | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 4, 2026 | Jun 17, 2026 (44 d) |
| Christopher Glenn Knight | Park Avenue Securities LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | Jun 3, 2026 (33 d) |
| Theodore Richard Ellsworth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 29, 2026 | Apr 24, 2026 |
| Alethia Dixon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| Jeremi Zabel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| Malia S Morales | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| John Harold Tyler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 27, 2026 |
| Joseph Alexander Bybee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| Tyler D Lane | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| Michael Bradley West | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Apr 24, 2026 |
| Audrey N Wilcoxson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 27, 2026 | Apr 27, 2026 |
| Kevin R. Kurtz | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 22, 2026 | Apr 17, 2026 |
| Patricia E Tyler | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 20, 2026 | Apr 20, 2026 |
| Ian Marshall Ogilvie | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 20, 2026 | Apr 17, 2026 |
| Ehrynn Summer Shephard | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 20, 2026 | Apr 17, 2026 |
| Grace Ann Touchette | Innovia Wealth, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2026 | Apr 14, 2026 |
| Vanessa G. Anderson | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2026 | Apr 29, 2026 |
| India R. Johns | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 3, 2026 | May 13, 2026 (40 d) |
| Spencer G Bennett | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2026 | Mar 31, 2026 |
| Despina Vallianos Mann | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 12, 2026 | Mar 17, 2026 |
| Christopher Michael Shea | UBS Asset Management (Americas) LLC mixed wealth | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Feb 26, 2026 | Apr 6, 2026 (39 d) |
| Daniel Guadalupe | Northwestern Mutual Investment Services,LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Feb 9, 2026 | May 12, 2026 (92 d) |
| Rajiv Dadlani | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 4, 2026 | Feb 3, 2026 |
| Tatum Foreman | Dimensional Fund Advisors LP asset manager | Rockefeller Capital Management BD affiliated | Other | Feb 4, 2026 | Mar 4, 2026 |
| Brice Eber-Morris | Hilltop Securities Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2026 | Feb 4, 2026 |
| Melyssa Bjella Moore | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 30, 2026 | Jan 12, 2026 |
| Joshua David Bruegman | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Jan 9, 2026 |
| Addison Nicole Dunbar | Equitable Advisors, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2026 | Jan 14, 2026 |
| Michael Thomas Eustace | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2026 | Dec 19, 2025 |
| Brenda Oconnor | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2026 | Dec 19, 2025 |
| Anthony David Solfaro | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2026 | Dec 19, 2025 |
| George Alexander Kroll | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2026 | Dec 19, 2025 |
| Patrick Lee Moore | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 24, 2025 | Dec 8, 2025 |
| Heather Lynn Brown | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 24, 2025 | Dec 5, 2025 |
| David Bishop Smith | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 23, 2025 | Dec 8, 2025 |
| Henry David Smith | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 23, 2025 | Dec 5, 2025 |
| James Charles Aughenbaugh | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2025 | Dec 15, 2025 |
| Florina Shutin | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 22, 2025 | Dec 15, 2025 |
| Kerry Ann Mcgauran | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2025 | Dec 12, 2025 |
| James Maxwell Markley | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2025 | Dec 12, 2025 |
| Kyle Lawson Stouffer | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2025 | Dec 12, 2025 |
| Manoel Lemos Campelo | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 22, 2025 | Dec 15, 2025 |
| Bryant Perdomo | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 22, 2025 | Dec 15, 2025 |
| Robert Gene Heisterberg | Ameriprise Financial Services, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2025 | Dec 11, 2025 |
| Thomas Gilbert Eastwood | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 18, 2025 | Dec 18, 2025 |
| Christina Emig | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 18, 2025 | Dec 19, 2025 |
| Kelli Hansen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 18, 2025 | Dec 19, 2025 |
| Mark Clifford French | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Dec 9, 2025 |
| Kevin Scott Parrill | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Dec 9, 2025 |
| Patrick Mcgovern | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Dec 3, 2025 |
| Mark Clifford French | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Dec 3, 2025 |
| Ian White | Equitable Advisors, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2025 | Feb 10, 2026 (57 d) |
| Connor Michael Kelly | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2025 | Dec 4, 2025 |
| Timothy Jon Fiacco | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 2, 2025 | Dec 1, 2025 |
| Sora Araim | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 2, 2025 | Dec 1, 2025 |
| Deborah J Wainwright | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 1, 2025 | Nov 28, 2025 |
| Mark Wayne Ulrich | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 1, 2025 | Nov 28, 2025 |
| Steven Guan | Centaurus Financial, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2025 | Dec 10, 2025 |
879 moves match.