Mallory Findley
Investment adviser representative at Rockefeller Capital Management
10 yearsExperience
1 stateRegistered 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 LLCOct 2023 to now
- Rockefeller Capital ManagementOct 2023 to now
- Morgan StanleySep 2022 to Oct 2023
- Source Financial Advisors, LLCApr 2021 to Sep 2022
- Venture Visionary Partners LLCJan 2021 to Sep 2022
- The Expansion Group Inc./expansion Venture Capital LLCJun 2019 to Nov 2020
- UBS Financial Services, Inc.Jun 2018 to Jun 2019
- Rollins College Crummer Graduate School of BusinessSep 2016 to May 2018
Exams passed
- Series 66 · Uniform Combined State Law2018
- Series 63 · Uniform Securities Agent State Law2023
State registrations
Registered as an investment adviser representative in 1 state (NY).
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
- 6960514
- Firm CRD
- 291361