SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Rockefeller Capital Management
New York, NY
Rockefeller Financial LLC, CRD 291361
Firm filing updated March 31, 2026 ·
- $99.6BAssets
- 50,292Clients
- 815Advisory staff
- 95,368Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals32,546
- High net worth individuals15,255
- Corporations or other businesses1,295
- Pension and profit sharing plans911
- Charities275
- and 2 more10
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 32,546 | $12.8 billion |
| High net worth individuals | 15,255 | $69.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 911 | $4.4 billion |
| Charitable organizations | 275 | $2.4 billion |
| State or municipal government entities (including government pension plans) | 7 | $275.2 million |
| Insurance companies | 3 | $470.8 million |
| Corporations or other businesses not listed above | 1,295 | $9.9 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- 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 advisors (including private fund managers)
Assets and accounts
- Regulatory assets$99.6 billion
- Accounts95,368
- Discretionary$93.5 billion · 92,609 accounts
- Non-discretionary$6.1 billion · 2,759 accounts
People
- Employees1,005
- Advisory staff815
- Broker-dealer reps878
- Licensed insurance agents460
- Planning clients11 to 25
Advisors
656 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Rockefeller Financial LLC SEC-registered investment advisor. CRD 291361, SEC file 801-114033.
- Registered with the SEC as an investment advisor (status date on record: September 21, 2018).
Is Rockefeller Capital Management a fiduciary?
Short answer: Rockefeller Capital Management is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 878 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
460 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.