Rockefeller Capital Management
Registered investment adviser · New York, NY · CRD #291361
Form ADV data as of 2026-09-01Regulatory assets
$99.60 billion
Total accounts
95,368
Employees
1,005
Disclosure events
3
Firm details
- Website: https://m.facebook.com/rockefellercapitalmanagement/
- Telephone: 212-549-5100
- SEC file number: 801-114033
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $93.52 billion |
| Non-discretionary regulatory assets under management | $6.08 billion |
| Total regulatory assets under management | $99.60 billion |
| Discretionary accounts | 92,609 |
| Non-discretionary accounts | 2,759 |
| Total accounts | 95,368 |
| Regulatory assets under management attributable to non-U.S. persons | $317.9 million |
People
| Total employees (excluding clerical) | 1,005 |
| Employees performing investment advisory functions (including research) | 815 |
| Employees who are registered representatives of a broker-dealer | 878 |
| Employees registered as investment adviser representatives with a state | 815 |
| Employees registered as IARs for another investment adviser | 336 |
| Employees who are licensed insurance agents | 460 |
| Firms or persons who solicit advisory clients on the firm's behalf | 15 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $94.79 billion |
| Clients for whom the firm has custody | 49,497 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends securities in which it has another proprietary interest
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 32,546 | $12.78 billion |
| High net worth individuals | 15,255 | $69.36 billion |
| Pension and profit sharing plans (not the participants or government plans) | 911 | $4.41 billion |
| Charitable organizations | 275 | $2.40 billion |
| State or municipal government entities (including government pension plans) | 7 | $275.2 million |
| Insurance companies | 3 | $470.8 million |
| Corporations or other businesses not listed above | 1,295 | $9.91 billion |