Broker-dealer firm · New York, NY
Rockefeller Capital Management
Rockefeller Financial LLC · SEC-registered investment adviser · CRD 291361 · SEC 801-114033
At a glance
Rockefeller Capital Management is an SEC-registered investment adviser based in New York, New York, with $99.6 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 47,801 individual clients. By Form ADV it is a broker-dealer firm, ranked 22nd of 391 broker-dealer firms and 262nd of 17,210 SEC-registered advisers by assets.
Main office 212-549-5100rockco.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $100B
- Rank among broker-dealer firms
- #22 of 391
- Rank among all SEC RIAs
- #262 of 17,210
- Rank in New York
- #62 of 2,591
- Individual clients
- 47,801
- High-net-worth clients
- 15,255
- Accounts
- 95,368
- Discretionary
- 94% of AUM
- Employees
- 1,005
- Advisory staff
- 815
- Offices
- 68
Owners and executives on its Form ADV
- Mark David AlexanderPrincipal Operations Officer
- Deirdre M. PattenPrincipal Financial Officer
- Rizwan Mohammad MirzaChief Compliance Officer
- Edmond Nicholas MoriartyCo-Chief Executive Officer
- Michael Wayne OutlawCo-Chief Executive Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Rockefeller Capital Management is a hybrid RIA: 878 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 15,255 | $69B | 70% |
| Individuals | 32,546 | $13B | 13% |
| Corporations or other businesses | 1,295 | $9.9B | 10% |
| Pension and profit sharing plans | 911 | $4.4B | 4% |
| Charitable organizations | 275 | $2.4B | 2% |
| Insurance companies | 3 | $471M | <1% |
| State or municipal government entities | 7 | $275M | <1% |
Disciplinary disclosures
Rockefeller Capital Management answers yes to 3 disclosure items 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 businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗rockco.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 43 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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Background
Questions
How much does Rockefeller Capital Management manage?
Rockefeller Capital Management reports $99.6 billion in regulatory assets under management across 95,368 accounts, 94% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Rockefeller Capital Management?
Rockefeller Capital Management is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Rockefeller Capital Management’s clients?
By assets, its largest client types are high-net-worth individuals ($69.4 billion, 15,255 clients); individuals ($12.8 billion, 32,546 clients); corporations or other businesses ($9.9 billion, 1,295 clients).
Does Rockefeller Capital Management have any disciplinary history?
Rockefeller Capital Management answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →