ROCKEFELLER CAPITAL MANAGEMENT
ROCKEFELLER & CO. LLC Legal Name
Adviser information for ROCKEFELLER CAPITAL MANAGEMENT last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 512 |
|---|---|
| Investment Advisory/Research | 161 |
| Registered Broker-Dealer Representatives | 175 |
| Registered State Investment Advisers | 128 |
| Licensed Agents of an Insurance Company | 17 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8,946 | $25.2B |
| Non-Discretionary | 478 | $2.2B |
| Total | 9,424 | $27.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 514 | $184.3M |
| HNW Individuals | 3,366 | $13.5B |
| Banking or thrift institutions | <5 | $4.6B |
| Investment companies | 3 | $748.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 59 | $6.1B |
| Pension and profit sharing plans | 11 | $21.8M |
| Charitable organizations | 83 | $1.6B |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 6 | $19.6M |
| Sovereign wealth funds and foreign official institutions | 5 | $199.5M |
| Corporations or other businesses | 64 | $468.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 421 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)INVESTMENT CONSULTING, TAX, ACCOUNTING, FAMILY OFFICE SERVICES, AND INVESTMENT REPORTING SERVICES |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisorAccountant or accounting firm |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 2.6B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROCKEFELLER PRIVATE WEALTH ADVISORY PLATFORM | ROCKEFELLER CAPITAL MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-113009 |
|---|---|
| SEC ERA File Number | 801-113009 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 294197 |
| Legal Entity Identifier | 254900AS2JCFQJX9T709 |
Principal Office
45 ROCKEFELLER PLAZAFLOOR 5
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-549-5100, Fax: None
Websites
mobile.twitter.com/rockcapmgmt
www.rockco.com
linkedin.com/showcase/71483435
rcm.rockco.com/erickson-wealth-partners/
rcm.rockco.com/henderson-janus-wealth-partners/
rcm.rockco.com/philadelphia/
rcm.rockco.com/washingtondc/
rcm.rockco.com/whitnell/
rcm.rockco.com/siliconvalley/
rcm.rockco.com/boston/
www.rockefellerfunds.com
www.linkedin.com/company/rockefeller-capital-management/
www.glassdoor.com/overview/working-at-rockefeller-capital-management-ei_ie2017422.11,41.htm
rcm.rockco.com/saratogasprings/
m.facebook.com/rockefellercapitalmanagement/
rcm.rockco.com/greenwich/
rcm.rockco.com/cincinnati/
instagram.com/rockefellercapitalmanagement?utm_medium=copy_link
rockco.com/bostwick-walters-wealth-partners/
Chief Compliance Officer
TIMOTHY J. MCCARTHY
MANAGING DIRECTOR AND GENERAL COUNSEL
45 ROCKEFELLER PLAZA
5TH FLOOR
NEW YORK
NY
United States
Tel:
212-549-5471
T********@*********M
(Full email address available in API data)
Regulatory Contact
WENDY WONG-TSANG
CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR
510 MADISON AVE
21ST FLOOR
NEW YORK
NY
United States
Tel:
332-262-5904
W*********@*********M
(Full email address available in API data)
Industry Affiliates
| RFIF GP I LLC | Sponsor, GP, manager of pooled investment vehicles |
| RGEF I LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROCKEFELLER ASSET MANAGEMENT INTERNATIONAL LTD | Other investment adviser, including financial planners |
| ROCKEFELLER CAPITAL MANAGEMENT | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ROCKEFELLER CAPITAL MANAGEMENT INSURANCE SERVICES, LLC | Insurance company or agency |
| ROCKEFELLER FUND MANAGERS, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROCKEFELLER PARTNERSHIP SERVICES LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROCKEFELLER STRATEGIC SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ROCKEFELLER TRUST COMPANY, N.A. | Trust company |
| SPEARHEAD FALCONS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| THE ROCKEFELLER TRUST COMPANY (DELAWARE) | Trust company |
| TITAN AG GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TITAN PRISMRE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TITAN PROTEIN GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TITAN SPACE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TITAN THERA GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| VANTAGEROCK CAPITAL GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VIKING GLOBAL INVESTORS LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 2006 SPECIAL GLOBAL OPPORTUNITIES, LLC | FUND OF FUNDS | $1.9M | $1.0M | 26 |
| 5500 FUND, LP | LONG ONLY EQUITY | $0.0M | $0.0M | 0 |
| FO LEGACY FUND LP | LONG ONLY MULTI ASSET CLASS | $22.9M | $5.0M | 7 |
| GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC | FUND OF FUNDS | $39.1M | $0.5M | 9 |
| GREER ANDERSON GLOBAL LONG, L.P. | FUND OF FUNDS | $40.5M | $1.0M | 33 |
| GREER ANDERSON GLOBAL PARTNERS, L.P. | FUND OF FUNDS | $52.2M | $1.0M | 29 |
| LIBRA FOSSIL FUEL FREE FUND, LP | LONG ONLY EQUITY | $176.1M | $0.5M | 64 |
| LIBRA FUND QP, LP | LONG ONLY EQUITY | $85.9M | $0.5M | 25 |
| LIBRA FUND, LP | LONG ONLY EQUITY | $53.6M | $0.5M | 34 |
| RASF MASTER LLC | FUND OF FUNDS | $1.4M | $0.3M | 2 |
| RASF SPV, LLC | FEEDER FUND | $0.0M | $0.0M | 31 |
| ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. | LONG ONLY EQUITY | $109.3M | $0.1M | 79 |
| ROCKEFELLER ACCESS FUND 06-I, LLC | FUND OF FUNDS | $41.2M | $0.5M | 94 |
| ROCKEFELLER ACCESS FUND 06-II LLC | FUND OF FUNDS | $5.2M | $0.1M | 45 |
| ROCKEFELLER ACCESS FUND 2015, LLC | FUND OF FUNDS | $124.0M | $0.5M | 107 |
| ROCKEFELLER ACCESS FUND I, LLC | FUND OF FUNDS | $12.0M | $0.5M | 90 |
| ROCKEFELLER ACCESS FUND II, LLC | FUND OF FUNDS | $3.4M | $0.1M | 65 |
| ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. | FEEDER FUND | $1.0M | $0.3M | 66 |
| ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP | FEEDER FUND | $0.2M | $0.3M | 28 |
| ROCKEFELLER BALANCED FUND, LP | MULTI-ASSET CLASS | $300.0M | $0.1M | 54 |
| ROCKEFELLER CLEANTECH VENTURES FUND II LLC | FUND OF FUNDS | $11.7M | $0.3M | 62 |
| ROCKEFELLER CLEANTECH VENTURES FUND, LLC | FUND OF FUNDS | $1.4M | $0.3M | 67 |
| ROCKEFELLER FINTECH INNOVATION FUND I LP | Private Equity Fund | $26.6M | $0.3M | 67 |
| ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND | LONG ONLY EQUITY | $47.4M | $0.1M | 44 |
| ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP | LONG ONLY EQUITY | $48.3M | $0.5M | 25 |
| ROCKEFELLER GLOBAL EQUITY FUND I, LP | LONG ONLY EQUITY | $46.0M | $0.1M | 19 |
| ROCKEFELLER GLOBAL EQUITY FUND II QP, LP | INVESTMENT FUND | $184.2M | $0.1M | 80 |
| ROCKEFELLER GLOBAL EQUITY FUND II, LP | LONG ONLY EQUITY | $71.7M | $0.1M | 55 |
| ROCKEFELLER INTERNATIONAL EQUITY FUND II LP | LONG ONLY EQUITY | $49.5M | $0.1M | 11 |
| ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC | FUND OF FUNDS | $1.1M | $0.3M | 24 |
| ROCKEFELLER PRIVATE EQUITY PARTNERS II, LLC | FUND OF FUNDS | $73.1M | $0.3M | 59 |
| ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC | FUND OF FUNDS | $3.2M | $0.5M | 54 |
| ROCKEFELLER U.S. EQUITY FUND II LP | LONG ONLY EQUITY | $64.9M | $0.1M | 7 |
| ROCKEFELLER U.S. SMALL CAP ESG FUND, LP | LONG ONLY EQUITY | $12.6M | $0.1M | 26 |
| ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. | INVESTMENT FUND | $310.4M | $0.1M | 134 |
| ROCKEFELLER VENTURE FUND III LLC | FEEDER FUND | $0.3M | $0.1M | 9 |
| TIGERGLOBAL ACCESS LP | FUND OF FUNDS | $12.5M | $0.1M | 76 |
| TITAN AG LP | Private Equity Fund | $33.3M | $0.3M | 86 |
| TITAN BIRDS FUND LP | Private Equity Fund | $0.0M | $0.0M | 0 |
| TITAN FALCONS LP (F/K/A SPEARHEAD FALCONS LP) | Private Equity Fund | $99.4M | $1.0M | 38 |
| TITAN PRISMRE LP | Private Equity Fund | $50.5M | $0.3M | 140 |
| TITAN PROTEIN LP | Private Equity Fund | $8.5M | $0.3M | 32 |
| TITAN SPACE FUND LP | Private Equity Fund | $227.6M | $0.3M | 236 |
| TITAN THERA LP | Private Equity Fund | $22.6M | $0.3M | 64 |
| VANTAGEROCK CAPITAL MASTER FUND LP | Hedge Fund | $765.9M | $1.0M | 643 |
| VENROCK INVESTORS FUND LLC | FEEDER FUND | $0.5M | $0.1M | 98 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCARTHY, TIMOTHY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | 03/2018 | < 5% |
| MORIARTY, EDMOND, NICHOLAS | Individual | – | CHIEF OPERATING OFFICER | 03/2018 | < 5% |
| FLEMING, GREGORY, JAMES | Individual | – | PRESIDENT & CHIEF EXECUTIVE OFFICER | 03/2018 | < 5% |
| ROCKEFELLER CAPITAL MANAGEMENT L.P. | Domestic Entity | RFS OPCO LLC | MEMBER | 03/2018 | > 75% |
| VIKING GLOBAL INVESTORS LP | Domestic Entity | DRAGSA 30 CAYMAN LTD. | VOTING SECURITY SHAREHOLDER | 01/2018 | 50-75% |
| VIKING GLOBAL INVESTORS LP | Domestic Entity | DRAGSA 24 CAYMAN LTD. | VOTING SECURITY SHAREHOLDER | 01/2018 | 50-75% |
| HALVORSEN, OLE, ANDREAS | Individual | VIKING GLOBAL INVESTORS LP | LIMITED PARTNER | 04/1999 | 25-50% |
| OTT, DAVID, CHRISTOPHER | Individual | VIKING GLOBAL INVESTORS LP | LIMITED PARTNER | 04/1999 | 25-50% |
| RFS OPCO LLC | Domestic Entity | – | MEMBER | 03/2018 | > 75% |
| ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. | Domestic Entity | ROCKEFELLER CAPITAL MANAGEMENT L.P. | GENERAL PARTNER | 10/2017 | |
| DRAGSA 24 CAYMAN LTD. | Foreign Entity | ROCKEFELLER CAPITAL MANAGEMENT L.P. | LIMTED PARTNER | 03/2018 | 25-50% |
| DRAGSA 30 CAYMAN LTD. | Foreign Entity | ROCKEFELLER CAPITAL MANAGEMENT L.P. | LIMITED PARTNER | 03/2018 | 25-50% |
| DRAGSA 24 CAYMAN LTD. | Foreign Entity | ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. | MEMBER | 03/2018 | 25-50% |
| DRAGSA 30 CAYMAN LTD. | Foreign Entity | ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. | MEMBER | 03/2018 | 25-50% |
| VIKING GLOBAL PARTNERS LLC | Domestic Entity | VIKING GLOBAL INVESTORS LP | GENERAL PARTNER | 04/1999 | |
| RYAN, John, Francis | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 01/2019 | < 5% |
| Fenrich, William, Joseph | Individual | – | SECRETARY | 11/2020 | < 5% |
| SCHACHTER, ALISON, THOMAS | Individual | – | CHIEF FINANCIAL OFFICER | 10/2022 | < 5% |