Teams that joined Rockefeller Capital Management
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | San Francisco, Ca | Wirehouse to affiliated broker-dealer or bank | Jun 23, 2020 |
| 2 | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Houston, Tx | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2020 |
| 6 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Dallas, Tx | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2020 |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | R••••••••• C•••••• M••••••••• BD affiliated | Houston, Tx | Affiliated broker-dealer or bank to another | May 27, 2020 |
| 3 | S•••••• N••••••• • C••••••• I••••••••• national BD | R••••••••• C•••••• M••••••••• BD affiliated | New York, Ny | Affiliated broker-dealer or bank to another | May 26, 2020 |
| 3 | S•••••• N••••••• • C••••••• I••••••••• national BD | R••••••••• C•••••• M••••••••• BD affiliated | St Louis, Mo | Affiliated broker-dealer or bank to another | May 26, 2020 |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Santa Monica, Ca +2 | Wirehouse to independent RIA | Mar 2, 2020 over 15 d |
| 2 | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | R••••••••• C•••••• M••••••••• independent RIA | Saratoga Springs, Ny | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2020 over 4 d |
| 5 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Wayne, Pa | Wirehouse to independent RIA | Feb 25, 2020 |
| 2 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | New York, Ny | Wirehouse to independent RIA | Feb 24, 2020 over 2 d |
| 6 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Atlanta, Ga | Wirehouse to independent RIA | Feb 18, 2020 over 1 d |
| 3 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Boca Raton, Fl | Wirehouse to independent RIA | Jan 21, 2020 |
| 13 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Atlanta, Ga | Wirehouse to independent RIA | Jan 14, 2020 over 9 d |
| 5 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Dallas, Tx | Wirehouse to independent RIA | Nov 26, 2019 |
| 3 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Pepper Pike, Oh | Wirehouse to independent RIA | Nov 25, 2019 |
| 2 | W•••• F•••• A••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Beverly Hills, Ca | Wirehouse to independent RIA | Oct 2, 2019 over 2 d |
| 6 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Vienna, Va | Wirehouse to independent RIA | Sep 24, 2019 over 2 d |
| 3 | M••••• S•••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | New York, Ny | Wirehouse to independent RIA | Sep 3, 2019 |
| 2 | W•••• F•••• A••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | San Francisco, Ca +1 | Wirehouse to independent RIA | Jul 29, 2019 |
| 8 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | Dallas, Tx +1 | Wirehouse to independent RIA | Jun 21, 2019 over 15 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | San Mateo, Ca | Wirehouse to independent RIA | May 28, 2019 over 1 d |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• independent RIA | New York, Ny | Wirehouse to independent RIA | Apr 26, 2019 over 28 d |
| 4 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• no RAUM | Atlanta, Ga | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 25, 2019 |
| 11 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• no RAUM | Atlanta, Ga | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2019 |
| 2 | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | R••••••••• C•••••• M••••••••• no RAUM | Albany, Ny +1 | Affiliated broker-dealer or bank to a newly registered adviser | Jan 15, 2019 over 2 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | R••••••••• C•••••• M••••••••• no RAUM | Ponte Vedra Beach, Fl +1 | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | R••••••••• C•••••• M••••••••• no RAUM | Atlanta, Ga | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 |
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.