Vivian Phuong-vi Phan
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 LLCJan 2026 to now
- Prudent Money Financial ServicesMay 2025 to Jan 2026
- Charles Schwab & co., Inc.Sep 2024 to Apr 2025
- UnemployedJun 2024 to Aug 2024
- Texas RepublicNov 2022 to Aug 2023
- Csl PlasmaMay 2022 to Jul 2022
- Louie's Grill & BarMay 2021 to Aug 2021
- Full Time EducationAug 2020 to May 2024
- Gold Leaf NutritionJun 2019 to Dec 2019
- Full Time EducationAug 2016 to May 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2025
- Series 65 · Uniform Investment Adviser Law2026
State registrations
Registered as an investment adviser representative in 1 state (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
- 7966426
- Firm CRD
- 291361