SEC-registered wealth management firm Broker-dealer affiliated
Rockefeller Capital Management
As of its Form ADV filed March 31, 2026, Rockefeller Capital Management, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $36.8 billion in regulatory assets under management across 10,479 accounts, ranking #12 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 294197
- SEC file number
- 801-113009
- Registered since
- March 1, 2018
- Latest Form ADV filing
- March 31, 2026
- Legal name
- ROCKEFELLER & CO. LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 51
Key figures
- Regulatory assets under management
- $36.8 billion
- Discretionary
- $31.8 billion (86.5%)
- Non-discretionary
- $5.0 billion
- Accounts
- 10,479 (9,918 discretionary)
- Clients
- 6,913, approximate as reported
- Employees
- 602
- Advisory staff
- 372 performing investment advisory functions
- Average account
- $3.5 million
- Asset growth, 1 year
- 12.8% (from $32.6 billion a year earlier)
- Asset growth, 3-year annual rate
- 17.5% (from $22.7 billion three years earlier)
- Asset growth, 5-year annual rate
- 9.1% (from $23.8 billion five years earlier)
- Client growth, 1 year
- 13.6% (from 6,083)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2018 | $15.8 billion |
| October 1, 2019 | $15.0 billion |
| October 1, 2020 | $19.1 billion |
| October 4, 2021 | $23.8 billion |
| October 3, 2022 | $25.5 billion |
| October 5, 2023 | $22.7 billion |
| October 1, 2024 | $27.4 billion |
| September 2, 2025 | $32.6 billion |
| October 2, 2026 | $36.8 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 2,596 clients | $21.1 billion | |
| Pooled investment vehicles 47 clients | $4.7 billion | |
| Investment companies 12 clients | $3.7 billion | |
| Corporations or other businesses 374 clients | $3.0 billion | |
| Charitable organizations 87 clients | $2.3 billion | |
| Individuals (other than high net worth) 3,335 clients | $1.6 billion | |
| State or municipal government entities fewer than 5 clients | $184.7 million | |
| Pension and profit sharing plans 34 clients | $130.4 million | |
| Insurance companies fewer than 5 clients | $119.5 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Other
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Commodity pool operator or commodity trading advisor
- Insurance broker or agent
- Accountant or accounting firm
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Commodity pool operator or commodity trading advisor
- Trust company
- Accountant or accounting firm
- Insurance company or agency
- Sponsor, general partner or managing member of pooled investment vehicles
Advises 39 private funds (Item 7.B).
Custody (Item 9)
The firm reported custody of client cash or securities, $39.0 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 346
- Also registered through a broker-dealer
- 345
- Employees who are IARs (Form ADV 5.B(3))
- 105
Designations held by the firm's IARs: CFP 64, CFA 15, ChFC 2.
Between 60 and 166 of the firm's 346 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 1 disclosure question. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| First Manhattan Co. LLC | New York | $38.1 billion |
| Advice and Planning Services | New York | $37.9 billion |
| Oppenheimer & Co. Inc. | New York | $36.7 billion |
| BBR Partners, LLC | New York | $36.5 billion |
| Wealthspire Advisors | New York | $34.3 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Rockefeller Capital Management on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: rockefelleretfs.com
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.