ROCKEFELLER CAPITAL MANAGEMENT
ROCKEFELLER FINANCIAL LLC Legal Name
Adviser information for ROCKEFELLER CAPITAL MANAGEMENT last updated from Form ADV on March 28th, 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 | 672 |
|---|---|
| Investment Advisory/Research | 573 |
| Registered Broker-Dealer Representatives | 584 |
| Registered State Investment Advisers | 573 |
| Licensed Agents of an Insurance Company | 307 |
| No. of Firms/People that Solicit Clients | 11 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 59,333 | $48.9B |
| Non-Discretionary | 2,128 | $2.9B |
| Total | 61,461 | $51.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 17,898 | $5.7B |
| HNW Individuals | 9,387 | $38.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 392 | $425.0M |
| Charitable organizations | 267 | $1.8B |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1,032 | $5.5B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 161 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 51.8B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROCKEFELLER PRIVATE WEALTH ADVISER PLATFORM WRAP FEE | ROCKEFELLER CAPITAL MANAGEMENT |
Principal Office
45 ROCKEFELLER PLAZAFLOOR 5
NEW YORK
NY
United States
Monday - Friday, 9 AM - 5 PM
Tel: 212-549-5100, Fax: None
Websites
instagram.com/rockefellercapitalmanagement?utm_medium=copy_link
www.rockco.com/
m.facebook.com/rockefellercapitalmanagement/
mobile.twitter.com/rockcapmgmt
www.linkedin.com/company/rockefeller-capital-management/
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Chief Compliance Officer
JOSEPH ERIGO
CHIEF COMPLIANCE OFFICER
45 ROCKEFELLER PLAZA
5TH FLOOR
NEW YORK
NY
United States
Tel:
212-549-5298
J*****@*********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 CAPITAL MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorAccountant or accounting firmSponsor, GP, manager of pooled investment vehicles |
| ROCKEFELLER CAPITAL MANAGEMENT INSURANCE SERVICES LLC | Insurance company or agency |
| 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 PRISMRE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| VIKING GLOBAL INVESTORS LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RFS OPCO LLC ("OPCO") | Domestic Entity | – | MEMBER | 10/2017 | > 75% |
| ROCKEFELLER CAPITAL MANAGEMENT L.P. ("RCM") | Domestic Entity | RFS OPCO LLC | MEMBER | 03/2018 | > 75% |
| ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. ("RCMGP") | Domestic Entity | ROCKEFELLER CAPITAL MANAGEMENT L.P. | GENERAL PARTNER | 10/2017 | |
| DRAGSA 24 CAYMAN LTD. | Foreign Entity | ROCKEFELLER CAPITAL MANAGEMENT L.P. | LIMITED 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 INVESTORS LP | Domestic Entity | DRAGSA 24 CAYMAN LTD. | VOTING SECURITY SHAREHOLDER | 01/2018 | > 75% |
| VIKING GLOBAL INVESTORS LP | Domestic Entity | DRAGSA 30 CAYMAN LTD. | VOTING SECURITY SHAREHOLDER | 01/2018 | > 75% |
| VIKING GLOBAL PARTNERS LLC | Domestic Entity | VIKING GLOBAL INVESTORS LP | GENERAL PARTNER | 04/1999 | |
| DUPUY, CHRISTOPHER TREVOR | Individual | – | PRESIDENT & CEO | 11/2021 | < 5% |
| ERIGO, JOSEPH | Individual | – | CCO | 03/2022 | < 5% |
| ALEXANDER, MARK DAVID | Individual | – | PRINCIPAL OPERATIONS OFFICER | 05/2022 | < 5% |
| KOWALSKI, DEIRDRE PATTEN | Individual | – | PRINCIPAL FINANCIAL OFFICER | 01/2023 | < 5% |