{ "crd_number": 291361, "slug": "rockefeller-capital-management-new-york-ny-291361", "primary_business_name": "ROCKEFELLER CAPITAL MANAGEMENT", "legal_name": "ROCKEFELLER FINANCIAL LLC", "dbas": [ "ROCKEFELLER CAPITAL MANAGEMENT", "ROCKEFELLER GLOBAL FAMILY OFFICE" ], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-09-21", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 99603487232.0, "raum_discretionary": 93524438153.0, "raum_non_discretionary": 6079049079.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 1005, "advisory_employees": 815, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 2400679449.0, "count": 275 }, "individuals": { "raum": 12778846116.0, "count": 32546 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 275220981.0, "count": 7 }, "insurance_companies": { "raum": 470759344.0, "count": 3 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 4406919881.0, "count": 911 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 69361500432.0, "count": 15255 }, "pooled_investment_vehicles": { "raum": 0.0, "count": null }, "corporations_other_businesses": { "raum": 9909561029.0, "count": 1295 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 3, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://facebook.com/rockefellercapitalmanagement", "https://instagram.com/rockefellercapitalmanagement", "https://linkedin.com/company/rockefeller-capital-management", "https://m.facebook.com/rockefellercapitalmanagement", "https://mobile.twitter.com/RockCapMgmt", "https://rockco.com", "https://rockco.com/1657-wealth-partners", "https://rockco.com/227-rgfo", "https://rockco.com/acadia-wealth-partners", "https://rockco.com/adapt-partners", "https://rockco.com/alexander-wealth-partners", "https://rockco.com/amsler-laborde-bowman-wealth-partners", "https://rockco.com/atlantic-group", "https://rockco.com/aughenbaugh-wealth-partners", "https://rockco.com/axiom-wealth-partners", "https://rockco.com/bergin-dyer", "https://rockco.com/bergman-wealth-management-group", "https://rockco.com/bloom-williams-group", "https://rockco.com/blue-lake-wealth-partners", "https://rockco.com/boston", "https://rockco.com/bostwick-walters-wealth-partners", "https://rockco.com/bridgeline-wealth-partners", "https://rockco.com/broderick-mingelgreen-wealth-partners", "https://rockco.com/bruce-dickey-wealth-partners", "https://rockco.com/bruegman-wealth-partners", "https://rockco.com/capital-crest-partners", "https://rockco.com/cardwell-wealth-partners", "https://rockco.com/cassidy-wealth-partners", "https://rockco.com/chase-newman-riordan-wealth-partners", "https://rockco.com/church-verhulst-walsh-wealth-partners", "https://rockco.com/claghorn-wealth-partners", "https://rockco.com/colwyn-mendelson-wealth-partners", "https://rockco.com/cowles-wealth-partners", "https://rockco.com/crowley-shemeld-jewayni-green-wealth-partners", "https://rockco.com/dadlani-wealth-partners", "https://rockco.com/dahlander-wolf-wealth-partners", "https://rockco.com/dbt-wealth-partners", "https://rockco.com/decision-point-wealth-partners", "https://rockco.com/devine-wealth-partners", "https://rockco.com/dimedio-wealth-partners", "https://rockco.com/duane-tabor-wealth-partners", "https://rockco.com/durrani-wang-wealth-partners", "https://rockco.com/e-e-wealth-partners", "https://rockco.com/entrepreneurs-group", "https://rockco.com/epperson-wealth-partners", "https://rockco.com/farnsworth-wealth-partners", "https://rockco.com/faro-wealth-partners", "https://rockco.com/fiacco-wealth-partners", "https://rockco.com/fink-mcmahon-chu-group", "https://rockco.com/florina-shutin-wealth-partners", "https://rockco.com/forensic-investment-group", "https://rockco.com/ginger-private-wealth-partners", "https://rockco.com/giorgetti-wealth-partners", "https://rockco.com/gorin-ressel-wealth-partners", "https://rockco.com/gsr-capital-partners", "https://rockco.com/hambleton-fieler-wealth-partners", "https://rockco.com/hartford-wealth-partners", "https://rockco.com/harvan-mckenzie-wealth-partners", "https://rockco.com/harvey-seese-wealth-advisory", "https://rockco.com/hassan-group", "https://rockco.com/hayes-wealth-partners", "https://rockco.com/henderson-janus-wealth-partners", "https://rockco.com/heritage-wealth-partners", "https://rockco.com/hermanson-embleton-wealth-partners", "https://rockco.com/holcomb-frey-wealth-partners", "https://rockco.com/holmes-robinson-wealth-partners", "https://rockco.com/hon-capital-partners", "https://rockco.com/horowitz-wealth-partners", "https://rockco.com/horton-wealth-partners", "https://rockco.com/jacobs-dwyer-wealth-partners", "https://rockco.com/jeter-reich-wealth-partners", "https://rockco.com/john-low-wealth-partners", "https://rockco.com/jones-connolly-pollock-group", "https://rockco.com/k-d-wealth-strategies", "https://rockco.com/kelly-wealth-partners", "https://rockco.com/kennedy-senkbeil-group", "https://rockco.com/klody-wealth-partners", "https://rockco.com/ladage-smith-garcia-wealth-partners", "https://rockco.com/ladner-franz-wealth-partners", "https://rockco.com/lahoud-wealth-partners", "https://rockco.com/landau-wealth-partners", "https://rockco.com/landmark-group", "https://rockco.com/langhorst-wealth-partners", "https://rockco.com/leach-wealth-partners", "https://rockco.com/legacy-family-wealth", "https://rockco.com/lewis-wealth-partners", "https://rockco.com/liberty-wealth-partners", "https://rockco.com/lien-degrace-wealth-partners", "https://rockco.com/linker-hodges-wealth-partners", "https://rockco.com/luechtefeld-wealth-partners", "https://rockco.com/lusink-wealth-partners", "https://rockco.com/lynch-wealth-partners", "https://rockco.com/marchetti-porter-wealth-partners", "https://rockco.com/marti-wealth-partners", "https://rockco.com/martin-daniels-wealth-partners", "https://rockco.com/mason-group", "https://rockco.com/maxwell-group", "https://rockco.com/mcdavid-wealth-partners", "https://rockco.com/mealey-wealth-partners", "https://rockco.com/mendoza-wealth-partners", "https://rockco.com/merlin-wealth-management", "https://rockco.com/meyer-demartini-wealth-partners", "https://rockco.com/moldaver-lee-cohen-wealth-partners", "https://rockco.com/monarch-wealth-partners", "https://rockco.com/montgomery-levin-group", "https://rockco.com/moon-wealth-partners", "https://rockco.com/mooney-stanley-wealth-partners", "https://rockco.com/moore-langhorst-wealth-partners", "https://rockco.com/moore-wealth-partners", "https://rockco.com/myers-wealth-partners", "https://rockco.com/nacca-wealth-partners", "https://rockco.com/neil-moore-wealth-partners", "https://rockco.com/nicholson-palomeque-kitchin-dagostino-wealth-partners", "https://rockco.com/oglevee-wealth-partners", "https://rockco.com/oryx-legacy-partners", "https://rockco.com/paget-wealth-partners", "https://rockco.com/partners-wealth-group", "https://rockco.com/pennington-wealth-partners", "https://rockco.com/picklo-wealth-partners", "https://rockco.com/pierattini-golden-wealth-partners", "https://rockco.com/pke-wealth-partners", "https://rockco.com/pollard-bryan-carl", "https://rockco.com/pollock-salah-wealth-partners", "https://rockco.com/pontis-wealth-partners", "https://rockco.com/preston-swedlund-turbitt-wealth-partners", "https://rockco.com/quackenbush-panetti-wealth-partners", "https://rockco.com/rathi-wealth-partners", "https://rockco.com/rhodes-white-bazan", "https://rockco.com/richeda-farr-wealth-partners", "https://rockco.com/risher-wealth-partners", "https://rockco.com/ritz-wealth-partners", "https://rockco.com/rosenberg-outcalt-wealth-partners", "https://rockco.com/rosenblum-wealth-partners", "https://rockco.com/rsa-family-wealth", "https://rockco.com/ruben-wealth-partners", "https://rockco.com/ryan-epperson-wealth-partners", "https://rockco.com/saltzman-apgar-swenson-wealth-partners", "https://rockco.com/saratogasprings", "https://rockco.com/sargent", "https://rockco.com/scarbrough-wealth-partners", "https://rockco.com/scruggs-wright-wealth-partners", "https://rockco.com/selcow-wealth-partners", "https://rockco.com/shaffer-wealth-partners", "https://rockco.com/sheehan-wealth-partners", "https://rockco.com/shelley-wealth-partners", "https://rockco.com/siden-fink-wealth-partners", "https://rockco.com/siliconvalley", "https://rockco.com/singh-wealth-partners", "https://rockco.com/southeastern-wealth-management-group", "https://rockco.com/strategic-wealth-partners", "https://rockco.com/suskind-ripple-halliwell-wealth-partners", "https://rockco.com/t3-img", "https://rockco.com/ta-wealth-partners", "https://rockco.com/tally-mcmanus-maldonado-wealth-partners", "https://rockco.com/tate-wealth-partners", "https://rockco.com/theugroup", "https://rockco.com/tidal-wealth-partners", "https://rockco.com/titan-partners", "https://rockco.com/titus-wealth-partners", "https://rockco.com/tramontano-wealth-partners", "https://rockco.com/ucci-wealth-partners", "https://rockco.com/ulrich-wealth-partners", "https://rockco.com/unger-wealth-partners", "https://rockco.com/variant-path-wealth-partners", "https://rockco.com/venetos-wealth-partners", "https://rockco.com/vios-advisors", "https://rockco.com/vu-wealth-partners", "https://rockco.com/wahlberg-wealth-partners", "https://rockco.com/wallace-maentz-machlovitch-wealth-partners", "https://rockco.com/white-kramer-wealth-partners", "https://rockco.com/willis-wealth-partners", "https://rockco.com/young-associates", "https://rockco.com/zapoleon-wealth-partners", "https://rockco.com/zhang-wealth-partners", "https://rockco.com/zwmg", "https://youtube.com/channel/UCbbJmcLqOxc9rNZ1MkDuU7w" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/291361", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/rockefeller-capital-management-new-york-ny-291361", "display_name": "Rockefeller Capital Management", "summary": "Rockefeller Capital Management is an SEC-registered investment advisory firm in New York, NY, registered since 2018, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Rockefeller Capital Management (CRD 291361): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Rockefeller Capital Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Rockefeller Capital Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is Rockefeller Capital Management located?", "a": "Rockefeller Capital Management's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 55 other offices (Schedule D, Section 1.F)." }, { "q": "Is Rockefeller Capital Management registered with the SEC or a state?", "a": "Rockefeller Capital Management is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 291361." }, { "q": "How much does Rockefeller Capital Management manage?", "a": "Rockefeller Capital Management reports $99,603,487,232 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (94% discretionary)." }, { "q": "How have Rockefeller Capital Management's assets and staff changed since 2021?", "a": "In the Form ADV data for Rockefeller Capital Management: Regulatory assets under management: $14,864,453,018 in the October 2021 data and $99,603,487,232 in the October 2026 data, up 570%. Total employees: 280 in October 2021 and 1,005 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Rockefeller Capital Management serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (32,546); high net worth individuals (15,255); corporations or other businesses not listed above (1,295)." }, { "q": "Which custodians does Rockefeller Capital Management use?", "a": "Rockefeller Capital Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Rockefeller Capital Management report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/291361" }, { "q": "What changed in Rockefeller Capital Management's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $70,030,224,514 to $99,603,487,232 (+42%). Employees performing advisory functions went from 748 to 815. Changed its office addresses in Boca Raton, FL. Changed its office addresses in Chicago, IL. Changed its office addresses in Hamilton, NJ. Changed its office addresses in Hartford, CT. Changed its office addresses in Houston, TX. Changed its office addresses in New York, NY. Changed its office addresses in Newport Beach, CA. Changed its office addresses in Palm Beach Gardens, FL. Changed its office addresses in San Antonio, TX. Added an office in Albany, NY. Added an office in Birmingham, MI. Added an office in Brentwood, TN. Added an office in Florham Park, NJ. Added an office in Fort Lauderdale, FL. Added an office in Newburgh, NY. Added an office in Rochester, NY. Added an office in San Diego, CA. No longer lists an office in Beverly, MA. No longer lists an office in Burlington, VT. No longer lists an office in Franklin, TN. No longer lists an office in Melbourne, FL. No longer lists an office in Mountain View, CA. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 14864453018.0, "total_employees": 280, "filing_date": "2021-09-24" }, { "period": "2022-10-01", "regulatory_assets_under_management": 28680466879.0, "total_employees": 423, "filing_date": "2022-08-22" }, { "period": "2023-10-01", "regulatory_assets_under_management": 34707894464.0, "total_employees": 531, "filing_date": "2023-06-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 51821018176.0, "total_employees": 672, "filing_date": "2024-08-08" }, { "period": "2025-10-01", "regulatory_assets_under_management": 70030224514.0, "total_employees": 824, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 99603487232.0, "total_employees": 1005, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $70,030,224,514 to $99,603,487,232 (+42%).", "Employees performing advisory functions went from 748 to 815.", "Changed its office addresses in Boca Raton, FL.", "Changed its office addresses in Chicago, IL.", "Changed its office addresses in Hamilton, NJ.", "Changed its office addresses in Hartford, CT.", "Changed its office addresses in Houston, TX.", "Changed its office addresses in New York, NY.", "Changed its office addresses in Newport Beach, CA.", "Changed its office addresses in Palm Beach Gardens, FL.", "Changed its office addresses in San Antonio, TX.", "Added an office in Albany, NY.", "Added an office in Birmingham, MI.", "Added an office in Brentwood, TN.", "Added an office in Florham Park, NJ.", "Added an office in Fort Lauderdale, FL.", "Added an office in Newburgh, NY.", "Added an office in Rochester, NY.", "Added an office in San Diego, CA.", "No longer lists an office in Beverly, MA.", "No longer lists an office in Burlington, VT.", "No longer lists an office in Franklin, TN.", "No longer lists an office in Melbourne, FL.", "No longer lists an office in Mountain View, CA.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "National Financial Services LLC", "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/rockefeller-capital-management-new-york-ny-291361.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 32546, "fewer_than_5": false, "raum": 12778846116.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 15255, "fewer_than_5": false, "raum": 69361500432.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 911, "fewer_than_5": false, "raum": 4406919881.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 275, "fewer_than_5": false, "raum": 2400679449.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 7, "fewer_than_5": false, "raum": 275220981.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 3, "fewer_than_5": false, "raum": 470759344.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1295, "fewer_than_5": false, "raum": 9909561029.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/291361", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }