ROCKEFELLER CAPITAL MANAGEMENT

Broker-DealerFINRA MemberEst. 2018
Total AUM
$99.6B
Discretionary
$93.5B
94% of AUM
Accounts
95,368
Employees
1,005
Advisory reps
1,137
Brokerage reps
878

Firm details

Headquarters
New York, New York
CRD number
291361
Registered since
September 21, 2018
Website
rcm.rockco.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI69.64%
  • Individuals12.83%
  • Corporations / Businesses9.95%
  • Pension & Profit Sharing Plans4.42%
  • Charitable Organizations2.41%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Rockefeller Capital Management is organized as an LLC and operates both as an independent registered investment adviser and an investment bank, with affiliated broker-dealer activity. Its client mix spans high-net-worth individuals and families as well as institutional clients. Advisory services explicitly include financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, and selection of other advisers. Compensation is structured through percentage-of-AUM and fixed-fee arrangements. The firm is not identified in the snapshot as an active ESG investor. The profile data also records an industry recognition: a 2026 listing among "50 RIA Firms to Watch" by AdvisorHub.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 43%, Public Funds/Mutual Funds 36%, State & Local Bonds 7%, Private Funds 4%, Cash & Cash Equivalents 4%, US Government Bonds 3%, Investment Grade Corp Bonds 2%, Derivatives 1%43%
  • Exchange Traded Equities43%
  • Public Funds/Mutual Funds36%
  • State & Local Bonds7%
  • Private Funds4%
  • Cash & Cash Equivalents4%

Owners & executives

3 of 30

  • RICHARD DODD

    Team Chief Investment OfficerCRD 7171037

  • CASEY CLARK

    President and Chief Investment OfficerCRD 5859208

  • CHARLES BURKE

    Co-Chief Operating OfficerCRD 4466587

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Contacts

3 of 1107

  • MATTHEW HAMBLETON

    Managing Director, Private AdvisorCRD 4629875

  • LAUREN SMITH

    Product Strategy AnalystCRD 7739237

  • MICHAEL SHELLEY

    Managing Director, Private AdvisorCRD 5380648

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW YORK
Address
45 Rockefeller Plz
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth