Wealth manager, independent · New York, NY
Rockefeller Capital Management
Rockefeller & Co. LLC · SEC-registered investment adviser · CRD 294197 · SEC 801-113009
At a glance
Rockefeller Capital Management is an SEC-registered investment adviser based in New York, New York, with $37B in regulatory assets under management as of its Form ADV filed March 31, 2026. It reports 5,931 individual clients, 2,596 of them high-net-worth, holding an average of about $3.8 million each, and 602 employees. That ranks it 28th among the nation’s 5,657 independent wealth management RIAs and 2nd of 408 in New York. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 212-549-5100rockefelleretfs.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $37B
- Rank among independent wealth managers
- #28 of 5,657
- Rank among all SEC RIAs
- #552 of 17,210
- Rank in New York
- #2 of 408
- Individual clients
- 5,931
- High-net-worth clients
- 2,596
- Accounts
- 10,479
- Discretionary
- 86% of AUM
- Employees
- 602
- Advisory staff
- 372
- Offices
- 52
Owners and executives on its Form ADV
- Gregory J. FlemingPresident & Chief Executive Officer
- Alison T. SchachterChief Financial Officer
- Wendy Wong-TsangChief Compliance Officer
- Ashley McCarthyChief Operating Officer
- Patricia A. SolfaroChief Legal Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Rockefeller Capital Management is a hybrid RIA: 334 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Rockefeller Financial LLC.
- Rockefeller Financial LLC ↗CRD 291361
Its Form ADV brochure (filed March 2026) names Rockefeller Financial as the broker-dealer its advisers are registered with.
Certain Private Advisors are also registered representatives of Rockefeller Financial (each, a “Registered Representative”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 2,596 | $21B | 57% |
| Pooled investment vehicles | 47 | $4.7B | 13% |
| Investment companies | 12 | $3.7B | 10% |
| Corporations or other businesses | 374 | $3.0B | 8% |
| Charitable organizations | 87 | $2.3B | 6% |
| Individuals | 3,335 | $1.6B | 4% |
| State or municipal government entities | 2 | $185M | <1% |
| Pension and profit sharing plans | 34 | $130M | <1% |
| Insurance companies | 3 | $119M | <1% |
Private funds
Rockefeller Capital Management reports 39 private funds with $4.1B in gross assets: hedge funds, private equity funds, venture capital funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Rockefeller Capital Management answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗rockefelleretfs.com ↗
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The full record on Rockefeller Capital Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 113 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Cerity Partners LLCNew York | $162B | 24,945 |
| BBR Partners, LLCNew York | $36B | 203 |
| Wealthspire AdvisorsNew York | $34B | 9,736 |
| Goldman Sachs Wealth Services, L.P.Cohoes | $32B | 115,350 |
| Tiedemann Advisors, LLCNew York | $31B | 407 |
| Silvercrest Asset Management Group LLCNew York | $28B | 1,081 |
Compare Rockefeller Capital Management with
- Rockefeller Capital Management vs Cerity Partners LLC $162B · New York, NY
- Rockefeller Capital Management vs Lido $43B · LOS Angeles, CA
- Rockefeller Capital Management vs Focus Advisor Solutions, LLC $41B · St. Louis, MO
- Rockefeller Capital Management vs BBR Partners, LLC $36B · New York, NY
- Rockefeller Capital Management vs Wealthspire Advisors $34B · New York, NY
Background
Questions
How much does Rockefeller Capital Management manage?
Rockefeller Capital Management reports $37B in regulatory assets under management across 10,479 accounts, 86% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
How many clients does Rockefeller Capital Management have?
It reports 5,931 individual clients: 2,596 high-net-worth individuals and 3,335 other individuals. Individuals account for about 62% of its regulatory assets.
Where is Rockefeller Capital Management headquartered?
Its main office is in New York, New York. It reports 52 offices in total and 602 employees, 372 of whom perform investment advisory functions.
How does Rockefeller Capital Management charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Rockefeller Capital Management use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 31, 2026, it reports these amounts held: Fidelity ($21B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Rockefeller Capital Management a hybrid RIA with a broker-dealer?
Rockefeller Capital Management is a hybrid RIA: 334 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Rockefeller Financial LLC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Rockefeller Capital Management a fiduciary?
As an SEC-registered investment adviser, Rockefeller Capital Management owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 334 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Rockefeller Capital Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →