Clients
Rockefeller Financial serves 50,292 clients, 15,255 of them high-net-worth individuals. The average client has about $2 million with the firm, and high-net-worth clients hold 70% of its $99.6 billion in assets.
- Individuals32,546 clients13%
- High-net-worth individuals15,255 clients70%
- Pension and profit-sharing plans911 clients4%
- Charitable organizations275 clients2%
- Corporations and other businesses1,295 clients10%
- OtherState or municipal government entities, Insurance companies1%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 32,546 | $12,778,846,116 | 12.8% | $393K |
| High-net-worth individuals | 15,255 | $69,361,500,432 | 69.6% | $4.55M |
| Pension and profit-sharing plans | 911 | $4,406,919,881 | 4.4% | $4.84M |
| Charitable organizations | 275 | $2,400,679,449 | 2.4% | $8.73M |
| State or municipal government entities | 7 | $275,220,981 | 0.3% | $39.3M |
| Insurance companies | 3 | $470,759,344 | 0.5% | $156.9M |
| Corporations and other businesses | 1,295 | $9,909,561,029 | 9.9% | $7.65M |
| Total | 50,292 | $99,603,487,232 | 100% | $1.98M |
- Clients
- 32,546
- Regulatory AUM
- $12,778,846,116
- Share
- 12.8%
- Avg. per client
- $393K
- Clients
- 15,255
- Regulatory AUM
- $69,361,500,432
- Share
- 69.6%
- Avg. per client
- $4.55M
- Clients
- 911
- Regulatory AUM
- $4,406,919,881
- Share
- 4.4%
- Avg. per client
- $4.84M
- Clients
- 275
- Regulatory AUM
- $2,400,679,449
- Share
- 2.4%
- Avg. per client
- $8.73M
- Clients
- 7
- Regulatory AUM
- $275,220,981
- Share
- 0.3%
- Avg. per client
- $39.3M
- Clients
- 3
- Regulatory AUM
- $470,759,344
- Share
- 0.5%
- Avg. per client
- $156.9M
- Clients
- 1,295
- Regulatory AUM
- $9,909,561,029
- Share
- 9.9%
- Avg. per client
- $7.65M
Total
- Clients
- 50,292
- Regulatory AUM
- $99,603,487,232
- Share
- 100%
- Avg. per client
- $1.98M
What it does
Rockefeller Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting and selecting other managers. It is paid through a percentage of assets and fixed fees.
Rockefeller Financial provided financial planning to 11–25 clients last fiscal year and advises no private funds.
93.9% of assets ($93.52B across 92,609 accounts) are managed with discretion; $6.08B across 2,759 accounts are not. $96.00B sits in a wrap fee program the firm both sponsors and manages. 0% of clients are outside the U.S., and 223 clients received advice without assets under management last fiscal year.
What the accounts hold
- Stocks43%
- Funds40%
- Registered funds36%
- Pooled vehicles4%
- Bonds12%
- State and local bonds7%
- U.S. government and agency bonds3%
- Investment grade corporate bonds2%
- Cash4%
- Other1%
- Derivatives1%
Custodians
Rockefeller Financial’s client accounts are held mainly at Fidelity, with 96% of managed assets. Rockefeller Financial has custody of $94.79B for 49,497 clients.
- FidelityNational Financial Services LLC · Boston, MA · $96.00B96%
- All other custodians$3.60B4%
Ownership and leadership
RFS Opco LLC ("opco") owns 75% or more of Rockefeller Financial, and Edmond Nicholas Moriarty is its CEO.
- Owns 75% or more of Rockefeller Financial LLC
RFS Opco LLC ("opco")
Control person · since October 2017
- Owns 75% or more of Rockefeller Financial LLC
Rockefeller Capital Management L.P. ("RCM")
Control person · since March 2018
Rockefeller Capital Management General Partner L.L.C. ("RCMGP")
General partner of Rockefeller Capital Management L.P. · Control person · since October 2017
Leadership
- Edmond Nicholas MoriartyCo-Chief Executive Officer
- Michael Wayne OutlawCo-Chief Executive Officer
- Rizwan Mohammad MirzaChief Compliance Officer
- Mark David AlexanderPrincipal Operations Officer
- Deirdre Patten KowalskiPrincipal Financial Officer
Staff
- 1,005 employees
- 815 in advisory functions
- 815 state-registered reps
- 878 broker-dealer reps
- 460 insurance agents
- 15 soliciting firms
Fees
Rockefeller Financial is paid through a percentage of assets under management and fixed fees (other than subscription fees).
Rockefeller Financial’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Rockefeller Financial has 67 offices (12 private residences, listed without an address), with 57 listed addresses across 25 states.
California · 6 listed addresses
- 750 University Ave , Suite 240, Los Gatos
- 800 Newport Center Drive, Newport Beach
- 2000 Avenue of the Stars, Los Angeles
- Two Embarcadero Center, San Francisco
- 1850 MT Diablo Boulevard, Walnut Creek
- 3721 Valley Centre Drive, San Diego
New York · 6 listed addresses
- 45 Rockefeller Plaza, Floor 5, New YorkHQ
- 321 Broadway, Saratoga Springs
- 187 Wolf Road, Albany
- 45 Rockefeller Plaza, New York
- 400 Stony Brook Court, Newburgh
- 500 Linden Oaks, Suite 110, Rochester
Texas · 6 listed addresses
- 9950 Woodloch Forest Tower, 4th Floor, The Woodlands
- 328 West Main Street, Kenedy
- 1900 Broadway Street, San Antonio
- 200 W 6th Street, Austin
- 300 Crescent Court, Dallas
- 1600 West Loop South, Suite 700, Houston
Florida · 5 listed addresses
- 271 West Canton Ave., Suite 100, Winter Park
- 5355 Town Center RD, Boca Raton
- 3835 Pga Boulevard, Palm Beach Gardens
- 12012 South Shore BLVD., Suite 112, Wellington
- 515 E Las Olas BLVD, Fort Lauderdale
New Jersey · 4 listed addresses
- 115 W. Century Road, Paramus
- 2445 Kuser Road, Suite 302, Hamilton
- 525 Washington Boulevard - Suite 1410, Jersey City
- 180 Park Ave, Florham Park
Connecticut · 3 listed addresses
- 300 First Stamford Place, Stamford
- 8 Sound Shore Drive, Greenwich
- 225 Asylum ST. Suite 2830, Hartford
Michigan · 3 listed addresses
- 45 Ottawa Ave SW, Suite 700, Grand Rapids
- 260 E Brown Street, Birmingham
- 135 N. Old Woodward, Suite 200, Birmingham
Illinois · 2 listed addresses
- 227 West Monroe, Chicago
- 701 Harger Road, Suite 210, Oak Brook
North Carolina · 2 listed addresses
- 5605 Carnegie BLVD., Suite 220, Charlotte
- 1838 Sir Tyler Drive, Suite 102, Wilmington
Ohio · 2 listed addresses
- 28601 Chagrin BLVD, Suite 525, Woodmere
- 3825 Edwards Road, Cincinnati
Pennsylvania · 2 listed addresses
- 4 Caufield Place, Newtown
- One Tower Bridge, Conshohocken
Virginia · 2 listed addresses
- 200 S 10th Street, Suite 950, Richmond
- 1812 N Moore ST, Suite 1700, Arlington
Washington · 2 listed addresses
- 711 S Capitol Way, Olympia
- 10500 Ne 8th Street, Suite 875, Bellevue
Arizona · 1 listed address
- 16220 North Scottsdale Road, Scottsdale
Arkansas · 1 listed address
- 609 SW 8th Street, 6th Floor, Bentonville
Colorado · 1 listed address
- 100 Fillmore Street, Denver
Georgia · 1 listed address
- 3060 Peachtree Road, NW, Atlanta
Indiana · 1 listed address
- 4 Carter Greet, Carmel
Maryland · 1 listed address
- 2 Bethesda Metro Center, Bethesda
Massachusetts · 1 listed address
- 500 Boylston Street, Boston
Missouri · 1 listed address
- 16090 Swingley Ridge Road, Chesterfield
South Carolina · 1 listed address
- 10 Hospital Center Commons, Suite 400, Hilton Head Island
Tennessee · 1 listed address
- 320 Seven Springs Way, Brentwood
Utah · 1 listed address
- 2603 East Parleys Way, Salt Lake City
Wyoming · 1 listed address
- 30 S. King Street, Suite 2c, Jackson
Other business names
Rockefeller Financial has reported 2 other business names to the SEC.
- Rockefeller Capital Management
- Rockefeller Global Family Office
Registration details
- Legal name
- Rockefeller Financial LLC
- Headquarters
- 45 Rockefeller Plaza, Floor 5, New York, NY 10111
- Phone
- 212-549-5100
- Website
- Not reported
- SEC file
- 801-114033
- 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 Financial have?
Rockefeller Financial has 50,292 clients and manages $99.6 billion for them, as of March 2026. They include 32,546 other individuals, 15,255 high-net-worth individuals and 1,295 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Rockefeller Financial offer?
Rockefeller Financial provides financial planning, portfolio management for individuals and small businesses, 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 Financial use?
Rockefeller Financial’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $95,999,807,353. 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 Financial have?
Rockefeller Financial has 815 investment adviser representatives registered with state securities authorities, out of 1,005 employees, and 815 perform investment advisory functions. 878 are registered representatives of a broker-dealer and 460 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 Financial invest in?
At the end of its last fiscal year, Rockefeller Financial’s separately managed accounts held 43% exchange-traded equities, 36% registered funds (mutual funds, ETFs, BDCs), 7% state and local bonds, 4% pooled vehicles (private funds and similar), 4% cash and equivalents, 3% U.S. government and agency bonds, 2% investment grade corporate bonds and 1% derivatives. It advises no private funds of its own.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rockefeller Financial?
Rockefeller Financial’s direct owners are RFS Opco LLC ("opco") (75% or more) and Rockefeller Capital Management L.P. ("RCM") (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Rockefeller Financial get paid?
Rockefeller Financial is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file