Rockefeller Capital Management

RIASEC RegisteredEst. 2018

Total AUM

$36.8B

Discretionary

$31.8B

86% of AUM

Avg account

$3.5M

Accounts

10,479

Employees

602

Advisory reps

348

Firm details

Headquarters: New York, New York
CRD number: 294197
Registered since: March 1, 2018
Website: www.rockefellerfunds.com
Custodians: NATIONAL FINANCIAL SERVICES LLC
Fee structure: Percentage of AUM, Fixed Fees, Performance Based Fees
Client types: HNWI57.26%
Pooled Investment Vehicles12.79%
Investment Companies10.08%
Corporations / Businesses8.13%
Charitable Organizations6.2%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Rockefeller Capital Management is an LLC that registers as an SEC-registered adviser (since 2018) and positions itself as a capital allocator serving both individual/family and institutional clients. Its advisory services span comprehensive financial planning and portfolio management across individuals, pooled vehicles, investment companies and institutions, and it also advises on selection of other advisers. The firm operates with a mix of fee arrangements including percentage-of-AUM, fixed fees and performance-based fees, and it identifies itself as an active ESG investor. Beyond advisory services, the firm has activities that include acting as a CPO/CTA, insurance broker and accountant. Industry affiliations listed for the firm include broker-dealer relationships, trust company and insurance company roles, and sponsorship or GP/managing-member activity for pooled investment vehicles, indicating vertical integration between investment management, custody/transaction capabilities and sponsored private vehicles.