James Patrick Waters
Investment adviser representative at Rockefeller Capital Management
12 yearsExperience
2 statesRegistered in
CFADesignation
$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
12 years in the industry.
- Rockefeller Financial LLCFeb 2024 to now
- Morgan Stanley Private Bank, N.AApr 2020 to now
- Morgan Stanley Smith Barney LLCMar 2020 to Feb 2024
- Woodbury Financial Services, Inc.Mar 2019 to Mar 2020
- Questar Asset ManagementOct 2018 to Mar 2019
- Questar Capital CorporationOct 2018 to Mar 2019
- Global Alternative Investment Services Inc.Jan 2018 to Oct 2018
- Wells Fargo Investment Institute Inc.Jan 2018 to Oct 2018
- Nyes Ledge Capital Management LLCJan 2014 to Dec 2017
Designations
- CFA
Exams passed
- Series 63 · Uniform Securities Agent State Law2018
- Series 66 · Uniform Combined State Law2020
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
- 5886384
- Firm CRD
- 291361