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Rockefeller & Co.

SEC-registered adviser since 2018New York, NYCRD 294197

Rockefeller & Co. provides financial planning and investment management. Its clients include high-net-worth individuals, pooled investment vehicles and investment companies. Its regulatory assets under management total $36.8 billion, as filed on 31 March 2026.

212-549-5100
$36.8B
AUM
6,490
Clients
$3.82M
AUM / wealth client
See fees
Fee

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

Services and clients

Rockefeller & Co. 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, and selecting other managers.

Financial planning was provided to 101–250 clients last fiscal year. The firm advises 39 private funds.

Clients

Rockefeller & Co. reports 6,490 clients. They include 3,335 other individual clients, 2,596 high-net-worth individuals, and 374 corporations and other businesses.

AUM per wealth client averages the assets reported for individuals and high-net-worth individuals over their reported client counts. It excludes institutional clients.

Clients and assets by client type
Clients6,490 clients
Assets$36.76B
  • Individuals (other than HNW)3,335 clients$1.60B in assets
  • High-net-worth individuals2,596 clients$21.05B in assets
  • Investment companies12 clients$3.71B in assets
  • Pooled investment vehicles47 clients$4.70B in assets
  • Pension and profit-sharing plans34 clients$130.4M in assets
  • Other client types466 clients$5.58B in assetsCharitable organizations; State or municipal government entities; Insurance companies; Corporations and other businesses
Show client breakdown
Individuals (other than HNW)
Clients
3,335
Regulatory AUM
$1,599,179,812
AUM share
4.3%
Avg. per client
$480K
High-net-worth individuals
Clients
2,596
Regulatory AUM
$21,051,220,017
AUM share
57.3%
Avg. per client
$8.11M
Investment companies
Clients
12
Regulatory AUM
$3,706,254,617
AUM share
10.1%
Avg. per client
$308.9M
Pooled investment vehicles
Clients
47
Regulatory AUM
$4,702,071,321
AUM share
12.8%
Avg. per client
$100.0M
Pension and profit-sharing plans
Clients
34
Regulatory AUM
$130,353,046
AUM share
0.4%
Avg. per client
$3.83M
Charitable organizations
Clients
87
Regulatory AUM
$2,280,278,319
AUM share
6.2%
Avg. per client
$26.2M
State or municipal government entities
Clients
Fewer than 5
Regulatory AUM
$184,731,965
AUM share
0.5%
Avg. per client
$92.4M
Insurance companies
Clients
Fewer than 5
Regulatory AUM
$119,496,830
AUM share
0.3%
Avg. per client
$39.8M
Corporations and other businesses
Clients
374
Regulatory AUM
$2,990,512,270
AUM share
8.1%
Avg. per client
$8.00M

Total

Clients
6,490
Regulatory AUM
$36,764,098,197
AUM share
100%
Avg. per client
—

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. 423 clients received advice without assets under management last fiscal year.

Additional activity details
Clients outside the U.S.
1%
Clients advised without assets under management last fiscal year
423
Private funds advised
39
Financial planning clients last fiscal year
101–250

Fees and minimums

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

Brochure fee details have not yet been processed for this profile. Find its brochure on the SEC’s site.

Ownership and people

RFS Opco LLC owns 75% or more of Rockefeller & Co., 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
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Staff

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

Investments and reported holdings

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%
Loading reported holdings

Custodians

Rockefeller & Co.’s named custodians for separately managed accounts include Fidelity ($20,854,597,698). Rockefeller & Co. has custody of $35.16B for 7,281 clients.

Reported separately managed account assets by custodian
National Financial Services LLCBoston, MA
$20,854,597,698

Offices and registration details

Besides its headquarters, Rockefeller & Co. 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 & Co. 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
Website
Not reported
Headquarters
45 Rockefeller Plaza, Floor 5, New York, NY 10111
LinkedIn
@rockefeller-capital-management
SEC file
801-113009
Structure
Delaware LLC
Fiscal year end
December
State notice filings
51 jurisdictions, most recently 31 March 2023
Notice filing jurisdictions
Alabama
Notice Filed · 1 March 2018
Alaska
Notice Filed · 31 March 2023
Arizona
Notice Filed · 30 March 2020
Arkansas
Notice Filed · 31 March 2023
California
Notice Filed · 1 March 2018
Colorado
Notice Filed · 1 March 2018
Connecticut
Notice Filed · 1 March 2018
Delaware
Notice Filed · 1 March 2018
District of Columbia
Notice Filed · 1 March 2018
Florida
Notice Filed · 28 March 2018
Georgia
Notice Filed · 1 March 2019
Hawaii
Notice Filed · 1 March 2019
Idaho
Notice Filed · 31 March 2023
Illinois
Notice Filed · 10 April 2020
Indiana
Notice Filed · 31 March 2023
Iowa
Notice Filed · 1 March 2021
Kansas
Notice Filed · 31 March 2023
Kentucky
Notice Filed · 31 March 2023
Louisiana
Notice Filed · 1 March 2021
Maine
Notice Filed · 1 March 2018
Maryland
Notice Filed · 1 March 2018
Massachusetts
Notice Filed · 1 March 2018
Michigan
Notice Filed · 1 March 2018
Minnesota
Notice Filed · 30 March 2020
Mississippi
Notice Filed · 31 March 2023
Missouri
Notice Filed · 1 March 2021
Montana
Notice Filed · 31 March 2023
Nebraska
Notice Filed · 31 March 2023
Nevada
Notice Filed · 31 March 2023
New Hampshire
Notice Filed · 1 March 2018
New Jersey
Notice Filed · 1 March 2018
New Mexico
Notice Filed · 31 March 2023
New York
Notice Filed · 1 March 2018
North Carolina
Notice Filed · 30 March 2020
North Dakota
Notice Filed · 31 March 2023
Ohio
Notice Filed · 1 March 2018
Oklahoma
Notice Filed · 31 March 2023
Oregon
Notice Filed · 31 March 2023
Pennsylvania
Notice Filed · 1 March 2018
Rhode Island
Notice Filed · 1 March 2019
South Carolina
Notice Filed · 30 March 2020
South Dakota
Notice Filed · 30 March 2020
Tennessee
Notice Filed · 1 March 2019
Texas
Notice Filed · 1 March 2021
Utah
Notice Filed · 1 March 2019
Vermont
Notice Filed · 1 March 2018
Virginia
Notice Filed · 1 March 2018
Washington
Notice Filed · 1 March 2018
West Virginia
Notice Filed · 31 March 2023
Wisconsin
Notice Filed · 1 March 2021
Wyoming
Notice Filed · 1 March 2018

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 & Co. have?

Rockefeller & Co. has 6,490 clients and manages $36.8 billion for them, as of March 2026. They include 3,335 other individual clients, 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 & Co. offer?

Rockefeller & Co. 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, and selecting other managers.

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

Which custodians does Rockefeller & Co. use?

Rockefeller & Co.’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 & Co. have?

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

At the end of its last fiscal year, Rockefeller & Co.’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 & Co.?

Rockefeller & Co.’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 & Co. get paid?

Rockefeller & Co. 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 and methodology

  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, checked 16 October 2026.
  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.

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