DFX 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 |
|---|---|---|---|---|---|
| Robert Andrew Hon | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2025 | Nov 7, 2025 |
| Julie Byrnes | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2025 | Nov 7, 2025 |
| Gladys Viviana Heath | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 28, 2025 | Nov 6, 2025 |
| Sharon Cynthia Paul-Jordan | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Oct 20, 2025 |
| Devon Paige Litchfield | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Oct 20, 2025 |
| Gregory Robert Swenson | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2025 | Oct 20, 2025 |
| Christopher Lee Apgar | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 23, 2025 | Oct 20, 2025 |
| Xiao Peng Liu | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Jacqueline Lavonne Riggs | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Rand F Beech | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Nicholas Felix Eguiazarian | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Gianluca Sumberac | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Feb 6, 2026 (112 d) |
| Jessica Myra Lee | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Oct 10, 2025 |
| Khamar Z Maitland | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2025 | Oct 22, 2025 |
| Crystal Yung | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Oct 7, 2025 |
| Richard D Thome | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 30, 2025 | Sep 29, 2025 |
| Sophia E Katsafouros | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 23, 2025 | Sep 23, 2025 |
| Nicholas Thomas Mccartan | Citigroup Global Markets Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2025 | Sep 8, 2025 |
| Celine Joy Waxham | Equitable Advisors, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Sep 10, 2025 |
| Azim Ahmed | Neuberger Berman Bd LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Sep 3, 2025 | Sep 15, 2025 |
| Scott Baxter Rosenblum | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Aug 22, 2025 |
| Christopher Helms | Cetera Investment Advisers LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2025 | Sep 17, 2025 |
| Cathy Lynn Achter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 21, 2025 | Aug 27, 2025 |
| Dak H Spivey | Provenio Capital independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2025 | Aug 6, 2025 |
| Caleb Joshua Ennin | Johnson Brunetti independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Aug 13, 2025 | Oct 7, 2025 (55 d) |
| Melinda Jane Perry | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 8, 2025 | Aug 6, 2025 |
| Stacey Marie Betsch | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 29, 2025 | Jul 17, 2025 |
| Emily Kramer Rubin | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Madeline Audrey Irvin | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Theodore Alexander Mpatsios-Pappas | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 25, 2025 | Jun 27, 2025 |
| Leonard Jay Suskind | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 23, 2025 | Jun 27, 2025 |
| James Banigan Casey | Smead Capital Management, Inc. asset manager | Rockefeller Capital Management BD affiliated | Other | Jul 16, 2025 | Jul 29, 2025 |
| Mary Kathryn Shelton Fitzpatrick | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2025 | Jul 30, 2025 |
| John Lynch | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 27, 2025 | Jun 18, 2025 |
| Mike A Vivas | Pnc Wealth Management BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2025 | Jun 17, 2025 |
| John Charles Krebs | Carnegie Investment Counsel independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 3, 2025 | Jun 13, 2025 |
| Sig Oliver Sandberg | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2025 | Jun 18, 2025 |
| Yanni Ali Saderi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 29, 2025 | Dec 1, 2025 (186 d) |
| Rachel Zhang | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 28, 2025 | May 16, 2025 |
| Joseph J Nacca | Sage, Rutty & Co., Inc. independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | May 23, 2025 | May 23, 2025 |
| Eric William Schenk | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 16, 2025 | Apr 16, 2025 |
| Sarah S Trippe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 13, 2025 | May 21, 2025 |
| Julia Jane Payne | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2025 | Apr 16, 2025 |
| Jack Robert Worth | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2025 | Apr 16, 2025 |
| Angeline Pamela Newman | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2025 | Apr 16, 2025 |
| Raymond L. Chase | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2025 | Apr 16, 2025 |
| Julianne Rose | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2025 | Apr 16, 2025 |
| Kanwar Manjot Singh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2025 | Apr 17, 2025 |
| Dean Charles Turner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2025 | Apr 17, 2025 |
| Steven Coleman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2025 | Apr 17, 2025 |
| Nicola Antonio Tirino | Strategic Advisers LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2025 | Apr 17, 2025 |
| John A Bazan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2025 | Mar 28, 2025 |
| Timothy Porcher White | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2025 | Mar 28, 2025 |
| Kari Judson | Principal Securities, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2025 | Apr 3, 2025 |
| Hunter Stewart Kral | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2025 | Mar 28, 2025 |
| William J Cesario | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 27, 2025 | Mar 18, 2025 |
| Yun Cho Messina | Sierra Pacific Private Wealth, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Mar 20, 2025 | Mar 13, 2025 |
| Nicole Catherine Korensky | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 12, 2025 | Mar 21, 2025 |
| John Christopher Broderick | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2025 | Feb 14, 2025 |
| Kerese Kayon Traille | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2025 | Feb 11, 2025 |
879 moves match.