{"url":"https://nivawealth.com/firms/rockefeller-financial-291361","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/291361","regulatoryAum":99603487232,"crd":"291361","secFileNumber":"801-114033","legalName":"Rockefeller Financial LLC","displayName":"Rockefeller Financial","website":null,"linkedinUrl":"https://www.linkedin.com/company/rockefeller-capital-management/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"45 Rockefeller Plaza, Floor 5","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10111"},"tradeNames":["Rockefeller Capital Management","Rockefeller Global Family Office"],"registration":{"secApproved":"21 September 2018","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":1005,"advisory":815,"brokerDealerReps":878,"insuranceAgents":460,"promoters":15},"aum":{"discretionary":93524438153,"discretionaryAccounts":92609,"nonDiscretionary":6079049079,"nonDiscretionaryAccounts":2759,"wrapProgram":95999807353,"nonUsClientsPct":0,"nonAumClients":223},"clientTypes":[{"label":"Individuals (other than HNW)","clients":32546,"regulatoryAum":12778846116},{"label":"High-net-worth individuals","clients":15255,"regulatoryAum":69361500432},{"label":"Pension and profit-sharing plans","clients":911,"regulatoryAum":4406919881},{"label":"Charitable organizations","clients":275,"regulatoryAum":2400679449},{"label":"State or municipal government entities","clients":7,"regulatoryAum":275220981},{"label":"Insurance companies","clients":3,"regulatoryAum":470759344},{"label":"Corporations and other businesses","clients":1295,"regulatoryAum":9909561029}],"fees":[],"feeNotes":[],"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":95999807353}],"custodyNote":"Rockefeller Financial has custody of $94.79B for 49,497 clients.","otherCustodians":[],"leadership":[{"name":"Edmond Nicholas Moriarty","title":"Co-Chief Executive Officer","crd":"1744318"},{"name":"Michael Wayne Outlaw","title":"Co-Chief Executive Officer","crd":"2760690"},{"name":"Rizwan Mohammad Mirza","title":"Chief Compliance Officer","crd":"5080469"},{"name":"Mark David Alexander","title":"Principal Operations Officer","crd":"2202934"},{"name":"Deirdre Patten Kowalski","title":"Principal Financial Officer","crd":"1357509"}],"ownership":[{"label":"RFS Opco LLC (\"opco\")","detail":"Member in the 75% or more ownership band and a control person, since October 2017."},{"label":"Rockefeller Capital Management L.P. (\"RCM\")","detail":"Indirect owner: a member of RFS Opco LLC in the 75% or more band and a control person, since March 2018.","parent":"RFS Opco LLC"},{"label":"Rockefeller Capital Management General Partner L.L.C. (\"RCMGP\")","detail":"Indirect owner: general partner of Rockefeller Capital Management L.P. and a control person, since October 2017.","parent":"Rockefeller Capital Management L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":67,"privateResidences":12},"listedOfficeAddresses":57,"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"16220 North Scottsdale Road","city":"Scottsdale"}]},{"state":"Arkansas","offices":1,"addresses":[{"street":"609 SW 8th Street, 6th Floor","city":"Bentonville"}]},{"state":"California","offices":6,"addresses":[{"street":"750 University Ave , Suite 240","city":"Los Gatos"},{"street":"800 Newport Center Drive","city":"Newport Beach"},{"street":"2000 Avenue of the Stars","city":"Los Angeles"},{"street":"Two Embarcadero Center","city":"San Francisco"},{"street":"1850 MT Diablo Boulevard","city":"Walnut Creek"},{"street":"3721 Valley Centre Drive","city":"San Diego"}]},{"state":"Colorado","offices":1,"addresses":[{"street":"100 Fillmore Street","city":"Denver"}]},{"state":"Connecticut","offices":3,"addresses":[{"street":"300 First Stamford Place","city":"Stamford"},{"street":"8 Sound Shore Drive","city":"Greenwich"},{"street":"225 Asylum ST. Suite 2830","city":"Hartford"}]},{"state":"Florida","offices":5,"addresses":[{"street":"271 West Canton Ave., Suite 100","city":"Winter Park"},{"street":"5355 Town Center RD","city":"Boca Raton"},{"street":"3835 Pga Boulevard","city":"Palm Beach Gardens"},{"street":"12012 South Shore BLVD., Suite 112","city":"Wellington"},{"street":"515 E Las Olas BLVD","city":"Fort Lauderdale"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"3060 Peachtree Road, NW","city":"Atlanta"}]},{"state":"Illinois","offices":2,"addresses":[{"street":"227 West Monroe","city":"Chicago"},{"street":"701 Harger Road, Suite 210","city":"Oak Brook"}]},{"state":"Indiana","offices":1,"addresses":[{"street":"4 Carter Greet","city":"Carmel"}]},{"state":"Maryland","offices":1,"addresses":[{"street":"2 Bethesda Metro Center","city":"Bethesda"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"500 Boylston Street","city":"Boston"}]},{"state":"Michigan","offices":3,"addresses":[{"street":"45 Ottawa Ave SW, Suite 700","city":"Grand Rapids"},{"street":"260 E Brown Street","city":"Birmingham"},{"street":"135 N. Old Woodward, Suite 200","city":"Birmingham"}]},{"state":"Missouri","offices":1,"addresses":[{"street":"16090 Swingley Ridge Road","city":"Chesterfield"}]},{"state":"New Jersey","offices":4,"addresses":[{"street":"115 W. Century Road","city":"Paramus"},{"street":"2445 Kuser Road, Suite 302","city":"Hamilton"},{"street":"525 Washington Boulevard - Suite 1410","city":"Jersey City"},{"street":"180 Park Ave","city":"Florham Park"}]},{"state":"New York","offices":6,"addresses":[{"street":"45 Rockefeller Plaza, Floor 5","city":"New York","headquarters":true},{"street":"321 Broadway","city":"Saratoga Springs"},{"street":"187 Wolf Road","city":"Albany"},{"street":"45 Rockefeller Plaza","city":"New York"},{"street":"400 Stony Brook Court","city":"Newburgh"},{"street":"500 Linden Oaks, Suite 110","city":"Rochester"}]},{"state":"North Carolina","offices":2,"addresses":[{"street":"5605 Carnegie BLVD., Suite 220","city":"Charlotte"},{"street":"1838 Sir Tyler Drive, Suite 102","city":"Wilmington"}]},{"state":"Ohio","offices":2,"addresses":[{"street":"28601 Chagrin BLVD, Suite 525","city":"Woodmere"},{"street":"3825 Edwards Road","city":"Cincinnati"}]},{"state":"Pennsylvania","offices":2,"addresses":[{"street":"4 Caufield Place","city":"Newtown"},{"street":"One Tower Bridge","city":"Conshohocken"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"10 Hospital Center Commons, Suite 400","city":"Hilton Head Island"}]},{"state":"Tennessee","offices":1,"addresses":[{"street":"320 Seven Springs Way","city":"Brentwood"}]},{"state":"Texas","offices":6,"addresses":[{"street":"9950 Woodloch Forest Tower, 4th Floor","city":"The Woodlands"},{"street":"328 West Main Street","city":"Kenedy"},{"street":"1900 Broadway Street","city":"San Antonio"},{"street":"200 W 6th Street","city":"Austin"},{"street":"300 Crescent Court","city":"Dallas"},{"street":"1600 West Loop South, Suite 700","city":"Houston"}]},{"state":"Utah","offices":1,"addresses":[{"street":"2603 East Parleys Way","city":"Salt Lake City"}]},{"state":"Virginia","offices":2,"addresses":[{"street":"200 S 10th Street, Suite 950","city":"Richmond"},{"street":"1812 N Moore ST, Suite 1700","city":"Arlington"}]},{"state":"Washington","offices":2,"addresses":[{"street":"711 S Capitol Way","city":"Olympia"},{"street":"10500 Ne 8th Street, Suite 875","city":"Bellevue"}]},{"state":"Wyoming","offices":1,"addresses":[{"street":"30 S. King Street, Suite 2c","city":"Jackson"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-549-5100","stateRegisteredReps":815,"otherAdviserReps":336,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":2},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":36},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":4},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/291361/PDF/291361.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rockefeller Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rockefeller Financial offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Rockefeller Financial use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rockefeller Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rockefeller Financial invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rockefeller Financial?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rockefeller Financial get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}