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Rockefeller &

SEC-registered adviser since 2018New York, NYCRD 294197

$36.8B
AUM
6,490
Clients
See fees
Fee
372
Advisory staff

From Form ADV filed 31 March 2026 · data retrieved 15 October 2026SEC record

Rockefeller & is an investment adviser headquartered in New York, New York, and registered with the SEC since 2018. Its clients include high-net-worth individuals, pooled investment vehicles and investment companies. High-net-worth individuals account for 57% of its regulatory assets under management.

Its services include financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers. Fee arrangements include a percentage of assets under management, fixed fees and performance-based fees. RFS Opco LLC owns 75% or more of Rockefeller &, and Gregory Fleming is its CEO.

Clients

Rockefeller & serves 6,490 clients, 2,596 of them high-net-worth individuals. The average client has about $5.7 million with the firm, and high-net-worth clients hold 57% of its $36.8 billion in assets.

Regulatory assets by client type
  • Individuals3,335 clients4%
  • High-net-worth individuals2,596 clients57%
  • Investment companies12 clients10%
  • Pooled investment vehicles47 clients13%
  • Charitable organizations87 clients6%
  • OtherCorporations and other businesses, Pension and profit-sharing plans, State or municipal government entities, Insurance companies9%
Show client breakdown
Individuals (other than HNW)
Clients
3,335
Regulatory AUM
$1,599,179,812
Share
4.3%
Avg. per client
$480K
High-net-worth individuals
Clients
2,596
Regulatory AUM
$21,051,220,017
Share
57.3%
Avg. per client
$8.11M
Investment companies
Clients
12
Regulatory AUM
$3,706,254,617
Share
10.1%
Avg. per client
$308.9M
Pooled investment vehicles
Clients
47
Regulatory AUM
$4,702,071,321
Share
12.8%
Avg. per client
$100.0M
Pension and profit-sharing plans
Clients
34
Regulatory AUM
$130,353,046
Share
0.4%
Avg. per client
$3.83M
Charitable organizations
Clients
87
Regulatory AUM
$2,280,278,319
Share
6.2%
Avg. per client
$26.2M
State or municipal government entities
Clients
2
Regulatory AUM
$184,731,965
Share
0.5%
Avg. per client
$92.4M
Insurance companies
Clients
3
Regulatory AUM
$119,496,830
Share
0.3%
Avg. per client
$39.8M
Corporations and other businesses
Clients
374
Regulatory AUM
$2,990,512,270
Share
8.1%
Avg. per client
$8.00M

Total

Clients
6,490
Regulatory AUM
$36,764,098,197
Share
100%
Avg. per client
$5.66M

What it does

Rockefeller & provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers and other activities. It is paid through a percentage of assets, fixed fees and performance-based fees.

Rockefeller & provided financial planning to 101–250 clients last fiscal year and advises 39 private funds.

86.5% of assets ($31.80B across 9,918 accounts) are managed with discretion; $4.96B across 561 accounts are not. $9.66B sits in a wrap fee program the firm both sponsors and manages. 1% of clients are outside the U.S., and 423 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end

The filed percentages total 101%. The values below are shown as filed.

Exchange-traded equity securities
37%
U.S. government/agency bonds
8%
U.S. state and local bonds
22%
Investment grade corporate bonds
3%
Securities issued by registered investment companies or business development companies
18%
Securities issued by pooled investment vehicles (other than registered investment companies)
9%
Cash and cash equivalents
4%

Custodians

Rockefeller &’s client accounts are held mainly at Fidelity, with 57% of managed assets. Rockefeller & has custody of $35.16B for 7,281 clients.

Managed account assets by custodian
  • FidelityNational Financial Services LLC · Boston, MA · $20.85B57%
  • All other custodians$15.91B43%

Ownership and leadership

RFS Opco LLC owns 75% or more of Rockefeller &, and Gregory Fleming is its CEO.

Who owns the firm
Rockefeller & Co. LLC· the adviser

  • RFS Opco LLC

    Control person · since March 2018

    Owns 75% or more of Rockefeller & Co. LLC

Leadership

  • Gregory Fleming
    President & Chief Executive Officer
  • Alison Schachter
    Chief Financial Officer
  • Ashley McCarthy
    Chief Operating Officer
  • Wendy Wong-Tsang
    Chief Compliance Officer
  • Patricia Solfaro
    Chief Legal Officer

Staff

  • 602 employees
  • 372 in advisory functions
  • 105 state-registered reps
  • 334 broker-dealer reps
  • 14 insurance agents

Reported holdings

Rockefeller &’s reported 13F holdings total $65.22B across 4,732 positions, and the ten largest make up 22.0% of it.

$65.22B
Reported 13F value
4,732
Positions
22.0%
In the 10 largest
+15.7%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. State Str SPDR S&P 500 ETF T · TR Unit3.2%
  2. Apple Inc.3.1%
  3. Nvidia Corporation2.8%
  4. Alphabet Inc. · Cap Stk CL A2.3%
  5. Microsoft Corp.2.2%
  6. Amazon Com Inc.2.2%
  7. Broadcom Inc.1.7%
  8. Vanguard Index Fds · S&P 500 ETF Shs1.5%
  9. iShares TR · Core S&P500 ETF1.4%
  10. Invesco Qqq TR · Unit Ser 11.3%

Together, the ten largest are 22.0% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 13 August 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $65.22B is not its $36.76B in regulatory assets and does not represent any individual client's portfolio.

Fees

Rockefeller & is paid through a percentage of assets under management, fixed fees (other than subscription fees) and performance-based fees.

Rockefeller &’s fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, Rockefeller & has 51 offices, with 52 listed addresses across 24 states.

Listed office addresses by state

New York · 5 listed addresses

  • 45 Rockefeller Plaza, Floor 5, New YorkHQ
  • 500 Linden Oaks, Rochester
  • 187 Wolf Road, Albany
  • 400 Stony Brook Court, Newburgh
  • 321 Broadway, Saratoga Springs

Other business names

Rockefeller & has reported 3 other business names to the SEC.

  • Rockefeller Capital Management
  • Rockefeller Global Family Office
  • Rockefeller Global Investment Management

Registration details

Legal name
Rockefeller & Co. LLC
Headquarters
45 Rockefeller Plaza, Floor 5, New York, NY 10111
Phone
212-549-5100
Website
www.rockefellerfunds.com
SEC file
801-113009
Structure
Delaware LLC
Fiscal year end
December

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does Rockefeller & have?

Rockefeller & has 6,490 clients and manages $36.8 billion for them, as of March 2026. They include 3,335 other individuals, 2,596 high-net-worth individuals and 374 corporations and other businesses.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026

What services does Rockefeller & offer?

Rockefeller & provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers and other activities.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Rockefeller & use?

Rockefeller &’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $20,854,597,698. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026

How many financial advisors does Rockefeller & have?

Rockefeller & has 105 investment adviser representatives registered with state securities authorities, out of 602 employees, and 372 perform investment advisory functions. 334 are registered representatives of a broker-dealer and 14 are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Rockefeller & invest in?

At the end of its last fiscal year, Rockefeller &’s separately managed accounts held 37% exchange-traded equities, 22% state and local bonds, 18% registered funds (mutual funds, ETFs, BDCs), 9% pooled vehicles (private funds and similar), 8% U.S. government and agency bonds, 4% cash and equivalents and 3% investment grade corporate bonds. It advises 39 private funds.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Rockefeller &?

Rockefeller &’s direct owner is RFS Opco LLC (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026

How does Rockefeller & get paid?

Rockefeller & is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 31 March 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 294197.
  3. Form 13F-HR, filed 13 August 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with Rockefeller & Co. LLC and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.