Rockefeller Capital Management

Registered investment adviser · New York, NY · CRD #294197

Form ADV data as of 2026-09-01

Regulatory assets

$36.76 billion

Total accounts

10,479

Employees

602

Disclosure events

Firm details

Website: https://www.rockco.com/mealey-wealth-partners/
Telephone: 212-549-5100
SEC file number: 801-113009
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 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

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$31.80 billion
Non-discretionary regulatory assets under management	$4.96 billion
Total regulatory assets under management	$36.76 billion
Discretionary accounts	9,918
Non-discretionary accounts	561
Total accounts	10,479
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	602
Employees performing investment advisory functions (including research)	372
Employees who are registered representatives of a broker-dealer	334
Employees registered as investment adviser representatives with a state	105
Employees registered as IARs for another investment adviser	105
Employees who are licensed insurance agents	14
Firms or persons who solicit advisory clients on the firm's behalf	0

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	$35.16 billion
Clients for whom the firm has custody	7,281
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$3.82 billion
Clients for whom a related person has custody	571
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	33

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Other

Other business activities

Commodity pool operator or commodity trading advisorInsurance broker or agentAccountant or accounting firm

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorTrust companyAccountant or accounting firmInsurance company or agencySponsor, general partner, or managing member of pooled investment vehicles

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:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
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)	3,335	$1.60 billion
High net worth individuals	2,596	$21.05 billion
Investment companies	12	$3.71 billion
Pooled investment vehicles (other than investment companies and BDCs)	47	$4.70 billion
Pension and profit sharing plans (not the participants or government plans)	34	$130.4 million
Charitable organizations	87	$2.28 billion
State or municipal government entities (including government pension plans)	2	$184.7 million
Insurance companies	3	$119.5 million
Corporations or other businesses not listed above	374	$2.99 billion