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 J Carr | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2025 | Feb 14, 2025 |
| Jason Ross Mingelgreen | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2025 | Feb 14, 2025 |
| John Broderick | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2025 | Feb 14, 2025 |
| Jacqueline Ellen Dufresne | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| John Edward Carl | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| Buffy Armstrong Leonard | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| James G Demartini | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2025 | Feb 21, 2025 |
| Jeffrey James Pollard | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| William M Meyer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2025 | Feb 21, 2025 |
| Lorna F Meyer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2025 | Feb 21, 2025 |
| William Michael Ramette | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Kristen Donato | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Sean Aloysius Bergin | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Kathy S Dyer | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Maninder S Lail | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Charles Monroe Vetters | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 30, 2025 | Jan 17, 2025 |
| Peter J. Venetos | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 22, 2025 | Jan 17, 2025 |
| James S Venetos | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 22, 2025 | Jan 17, 2025 |
| Joshua Greiner | Mariner BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Jan 7, 2025 |
| Grace Upshaw | Neuberger Berman Bd LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Jan 14, 2025 | Feb 9, 2026 (391 d) |
| Cory Todd Logan | Pruco Securities, LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Jan 2, 2025 | Sep 17, 2025 (258 d) |
| Hunter Patrick Pemrick | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2024 | Mar 16, 2026 (465 d) |
| Lisa K Barnes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 5, 2024 | Dec 1, 2024 |
| Morgan G Richey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 5, 2024 | Nov 29, 2024 |
| Nan J Ginger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 | Nov 29, 2024 |
| Will Jorgensen Ginger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 | Nov 29, 2024 |
| Lehman C Mcnabb | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 | Nov 29, 2024 |
| Leo Andrew Harrison | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 | Dec 1, 2024 |
| Mark Juelis | Brandywine Global Investment Management, LLC other | Rockefeller Capital Management BD affiliated | Other | Nov 19, 2024 | Apr 22, 2025 (154 d) |
| Clare Elizabeth Dandridge | Corient independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Nov 6, 2024 | Oct 25, 2024 |
| Constandina Carkonen | Corient independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Nov 4, 2024 | Oct 25, 2024 |
| Anne Frances Norwood | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2024 | Oct 11, 2024 |
| Josef Runes Najar | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2024 | Oct 11, 2024 |
| Christopher Richard Luechtefeld | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2024 | Oct 11, 2024 |
| Adam Mustafic | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2024 | Nov 6, 2024 |
| Dawn Holtermann Wyatt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Anthony Ferrandino | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Sean Moreland | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Christopher G Dimedio | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Jonathan Richard Battillo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Patrick Unrath | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Patrick Thomas Sweet | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Sean Brendan Arnold | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Percy Lee Mason | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Kyle David Comerford | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2024 | Oct 18, 2024 |
| Michael Joshua Friedman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2024 | Oct 18, 2024 |
| Cameron Christopher Zubey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2024 | Oct 18, 2024 |
| Keif H Samuel | Pruco Securities, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Oct 21, 2024 |
| Jenny Rebecca Naylor | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2024 | Oct 7, 2024 |
| Brian K Malloy | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2024 | Sep 4, 2024 |
| Katherine P Hudson | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2024 | Sep 4, 2024 |
| Stephen P Schwab | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 17, 2024 | Sep 4, 2024 |
| Jeffrey Titus | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 2, 2024 | Jul 5, 2024 |
| Crystal G Miner | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 1, 2024 | Aug 7, 2024 |
| William Jamison Morris Wallrapp | Fisher Investments independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jul 31, 2024 | Jan 3, 2025 (156 d) |
| Jennifer Hiss | Blackrock Investment Management, LLC other | Rockefeller Capital Management BD affiliated | Other | Jul 30, 2024 | Jul 25, 2024 |
| Jason Park | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2024 | Jul 16, 2024 |
| Daniel J O'Neill | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2024 | Jul 5, 2024 |
| Haley Pink | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2024 | Jul 5, 2024 |
| Zachary Michael Ammirato | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 2, 2024 | Jun 21, 2024 |
879 moves match.