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 |
|---|---|---|---|---|---|
| William J Cesario | Rockefeller Capital Management BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2026 | Mar 18, 2025 |
| Seth Alton Wheeler | Northwestern Mutual Investment Services,LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Nov 26, 2025 | Nov 14, 2025 |
| Emanuel Anthony Zalants | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2025 | Nov 7, 2025 |
| Christine Diane Geoffray | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 17, 2025 |
| Paul Vladimir Urbanek | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 17, 2025 |
| Scott James Picklo | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 17, 2025 |
| Brian Ross Saltzman | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2025 | Oct 20, 2025 |
| Rocio Hernandez | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Max E Severo | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 | Oct 17, 2025 |
| Jennifer Graves | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 7, 2025 | Oct 1, 2025 |
| Alessandra Sirabella | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 25, 2025 | Aug 22, 2025 |
| Samantha Clarke Wagner | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 29, 2025 | Jul 17, 2025 |
| Thomas Joseph Livaccari | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Kenneth J. Shapiro | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Todd W Ives | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Spenser Yeager | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 | Jul 17, 2025 |
| Rosary Whitlock | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 25, 2025 | Jun 27, 2025 |
| Seth Neil Ripple | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 25, 2025 | Jun 27, 2025 |
| Karleen Madeleine Halliwell | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2025 | Jun 27, 2025 |
| Laura Raybin-Miller | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2025 | Jun 27, 2025 |
| Brett Howard Dulyea | First Foundation Advisors independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 2, 2025 | May 30, 2025 |
| Daniel Riordan | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 9, 2025 | Apr 16, 2025 |
| Peter I. Isaac Myers | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | Apr 28, 2025 |
| Stacey L Specht | 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 |
| Rajeev Rathi | 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 |
| Chandra Maria Margaret Federle | 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 |
| Matthew David Belfanti | Osaic Institutions, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 17, 2025 |
| Krishna Phanindra Swaroop Vege | 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 |
| John Clayton Bowers | 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 |
| Savannah Neal | 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 |
| Jason M. Ladner | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2025 | Mar 28, 2025 |
| Eric V Franz | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2025 | Mar 28, 2025 |
| Debra Lynne Young | 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 |
| Ann Michelle Mcclain | 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 |
| Greg Rhodes | 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 |
| Amy Lin | 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 |
| Paulina Schwarzbeck | 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 |
| Andrew J 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 |
| Keri Tan Chan | 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 |
| Dedra Brust | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| Becky B Chen | 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 |
| Raymond Clark Hoiles Bryan | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| Luke John Saddlemire | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2025 | Jan 31, 2025 |
| Wade Howard Hartz | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 7, 2025 | Jan 30, 2025 |
| Justin Delisi | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Caitlin M Dahl | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 | Jan 24, 2025 |
| Mark Eric Dahl | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 3, 2025 | Jan 22, 2025 |
| Maria D Navarro | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 30, 2025 | Jan 17, 2025 |
| Gary G Pollock | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management mixed wealth | Wirehouse to independent RIA | Mar 23, 2024 | Mar 22, 2024 |
| Craig D Pollock | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management mixed wealth | Wirehouse to independent RIA | Mar 23, 2024 | Mar 22, 2024 |
| Anis Salah | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management mixed wealth | Wirehouse to independent RIA | Mar 23, 2024 | Mar 22, 2024 |
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51 moves match.