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 & Co. LLC, CRD 294197
Firm filing updated March 31, 2026 ·
- $36.8BAssets
- 372Advisory staff
- 10,479Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals3,335
- High net worth individuals2,596
- Corporations or other businesses374
- Charities87
- Pooled vehicles47
- and 2 more46
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 3,335 | $1.6 billion |
| High net worth individuals | 2,596 | $21.1 billion |
| Investment companies | 12 | $3.7 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 47 | $4.7 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 34 | $130.4 million |
| Charitable organizations | 87 | $2.3 billion |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $184.7 million |
| Insurance companies | Fewer than 5 clients | $119.5 million |
| Corporations or other businesses not listed above | 374 | $3.0 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 investment companies
See all 8 services
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Other: "INVESTMENT CONSULTING, TAX, ACCOUNTING, FAMILY OFFICE SERVICES, AND INVESTMENT REPORTING SERVICES"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Other: "INVESTMENT CONSULTING, TAX, ACCOUNTING, FAMILY OFFICE SERVICES, AND INVESTMENT REPORTING SERVICES"
Assets and accounts
- Regulatory assets$36.8 billion
- Accounts10,479
- Discretionary$31.8 billion · 9,918 accounts
- Non-discretionary$5.0 billion · 561 accounts
People
- Employees602
- Advisory staff372
- Broker-dealer reps334
- Licensed insurance agents14
- Planning clients101 to 250
Advisors
204 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Rockefeller & Co. LLC SEC-registered investment advisor. CRD 294197, SEC file 801-113009.
- Registered with the SEC as an investment advisor (status date on record: March 1, 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: 334 staff are broker-dealer representatives 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.
14 staff are licensed insurance agents, the firm is itself an insurance broker or agent 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.