Claude Lee Ives
Investment adviser representative at Rockefeller Capital Management
32 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$99.6BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
32 years in the industry.
- Rockefeller Financial LLCFeb 2024 to now
- Morgan Stanley Private Bank, N.AJul 2020 to now
- Morgan Stanley Private Bank, National AssociationJan 2015 to Feb 2024
- Morgan Stanley Smith BarneyJun 2009 to Feb 2024
- Citigroup Global Markets Inc.Mar 1994 to Feb 2024
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law1994
- Series 65 · Uniform Investment Adviser Law1994
State registrations
Registered as an investment adviser representative in 2 states (NC, TX).
Rockefeller Capital Management
Legal name: Rockefeller Financial LLC
$99.6BAssets managed
50,292Clients
692Advisers
8 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2487717
- Firm CRD
- 291361