Lisa K Barnes
Investment adviser representative at Rockefeller Capital Management
14 yearsExperience
3 statesRegistered in
$99.6BFirm assets
8 yearsFirm in business
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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
14 years in the industry.
- Rockefeller Financial LLCNov 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2018 to Nov 2024
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2012 to Aug 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 66 · Uniform Combined State Law2007
State registrations
Registered as an investment adviser representative in 3 states (AR, OK, 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
- 4364504
- Firm CRD
- 291361