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.
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 | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Beverly Hills, Ca | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2025 |
| 2 | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | New York, Ny | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2025 over 1 d |
| 2 | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Golden Beach, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2025 over 3 d |
| 2 | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Bernardsville, Nj +1 | Wirehouse to affiliated broker-dealer or bank | Apr 25, 2025 over 3 d |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Chicago, Il +1 | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2025 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | New York, Ny | Wirehouse to affiliated broker-dealer or bank | Apr 21, 2025 |
| 5 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Dallas, Tx | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2025 |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | San Mateo, Ca +2 | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2025 |
| 2 | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Albany, Ny +1 | Affiliated broker-dealer or bank to another | Feb 24, 2025 |
| 2 | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Orland Park, Il +1 | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2025 |