Xichan Liu
Investment adviser representative at Rockefeller Capital Management
10 yearsExperience
2 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
10 years in the industry.
- Rockefeller Financial LLCMay 2022 to now
- First Republic Investment Management, Inc.Apr 2022 to May 2022
- First Republic Securities Company, LLCApr 2022 to May 2022
- Morgan Stanley Smith Barney LLCJan 2022 to Apr 2022
- Wells Fargo Clearing Services, LLCJun 2018 to Dec 2021
- HSBC Bank USA, N.A.Aug 2016 to Jun 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 2 states (CA, 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
- 6343286
- Firm CRD
- 291361