Chief Compliance Officer · Rockefeller Capital Management
Rizwan Mohammad Mirza
CRD 5080469 · Named on Form ADV at one SEC-registered adviser
At a glance
Rockefeller Capital Management, an SEC-registered broker-dealer firm based in New York, NY with $99.6 billion in regulatory assets, lists Rizwan Mohammad Mirza on its Form ADV as Chief Compliance Officer.
Firms and roles
- Rockefeller Capital ManagementChief Compliance OfficerBroker-dealer firm · New York, NY · $100B in regulatory assets
AtlasMembers
Rizwan’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
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Colleagues named on the same filings
- Mark David AlexanderPrincipal Operations Officer, Rockefeller Capital Management
- Deirdre M. PattenPrincipal Financial Officer, Rockefeller Capital Management
- Edmond Nicholas MoriartyCo-Chief Executive Officer, Rockefeller Capital Management
- Michael Wayne OutlawCo-Chief Executive Officer, Rockefeller Capital Management
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Rizwan’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.