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
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 |
|---|---|---|---|---|---|
| Dominick Allen Mcpeake | Lord, Abbett & Co. LLC asset manager | Rockefeller Capital Management BD affiliated | Other | Sep 10, 2026 | Sep 8, 2026 |
| Michelle Colquhoun | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2026 | Sep 4, 2026 |
| Laura Bienz | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2026 | Sep 4, 2026 |
| Patrick Edward Phillipp | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2026 | Sep 4, 2026 |
| Edward Robert Phillipp | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2026 | Sep 4, 2026 |
| Katelyn Roberts | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2026 | Sep 8, 2026 |
| Alexander Robert Norath | Focus Partners Wealth, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Sep 8, 2026 | Sep 10, 2026 |
| Fredrik Magnus Virgin | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2026 | Sep 4, 2026 |
| Michael Herzberg | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2026 | Sep 4, 2026 |
| Bruce Geoffrey Wain | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 19, 2026 | Aug 21, 2026 |
| Ryan Matthew Robles | Citigroup Global Markets Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2026 | Aug 31, 2026 |
| Cindy Beller Rudbart | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 10, 2026 |
| John W James | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 10, 2026 |
| Corinne James Menacho | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 10, 2026 |
| Kevin A Meek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 7, 2026 |
| Christopher R Benton | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 10, 2026 |
| Sidney Glenn Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Ryan Scott Mckay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Lisa Ann D'Amico | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Sherri L Clay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Natalie M Lariccia | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Quinn Sidney Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| John Wayne Christman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Dominic James Corso | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Liam Ian Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Stefanos William Newman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2026 | Aug 7, 2026 |
| Haley Marie Hawk | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2026 | Jul 16, 2026 |
| Robert Benjamin Perlman | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 23, 2026 |
| Ernest Alexander Osle | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 22, 2026 |
| Chad J Torelli | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 22, 2026 |
| Robert J Labriola | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 24, 2026 | Jul 20, 2026 |
| Jillian Marie Dean | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2026 | Jul 20, 2026 |
| Gregory Joseph Pappicco | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2026 | Jul 20, 2026 |
| Annmarie Gunther | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2026 | Jul 20, 2026 |
| Giancarlo Barone | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2026 | Jul 20, 2026 |
| Robert J Labriola | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2026 | Jul 20, 2026 |
| Sean Robert Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 20, 2026 | Jul 28, 2026 |
| Blake Romero | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 7, 2026 | Jul 13, 2026 |
| Brenda J Cyprian | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2026 | Jul 13, 2026 |
| Nicholas Andrew Coppola | Power Wealth Management independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jul 2, 2026 | Jul 14, 2026 |
| Kristin K Mccarthy | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 12, 2026 |
| Lukas Olson Sonka | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2026 | Jun 24, 2026 |
| Juan Carlos Mireles | Empower Advisory Group, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2026 | Jun 11, 2026 |
| Brittany Rose Oladunjoye | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 3, 2026 | Jun 9, 2026 |
| James Edward Graves | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2026 | May 29, 2026 |
| Jaslinne M Lopez | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 1, 2026 | May 29, 2026 |
| Arthur Thomas Nintzel | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Steven Michael Coplin | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 15, 2026 |
| Thomas Patrick Monaghan | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Christopher P Matteo | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Caroline A Coplin | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 15, 2026 |
| Andrew Edward Harper | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Cori Ann Verdino | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Ryan Patrick Monaghan | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2026 | May 11, 2026 |
| Ryan Michael Sherman | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 19, 2026 | May 15, 2026 |
| Lynette Janelle Susi | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 19, 2026 | May 15, 2026 |
| Ashley Marie Gegenwarth | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 18, 2026 | May 15, 2026 |
| Biagio Delboccio | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 18, 2026 | May 15, 2026 |
| Jean C Gannon | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 8, 2026 | Apr 29, 2026 |
| Katherine Julia Latypov | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 8, 2026 | Apr 29, 2026 |
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879 moves match.