Rockefeller Capital Management
New York, NY·SEC-registered · CRD #294197
Rockefeller Capital Management is an SEC-registered investment advisory firm in New York, NY managing $37B across 11k client accounts, with 372 advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$37B
Client accounts
11k
Advisory staff
372
Fee model
Fee-based
How Rockefeller Capital Management is paid
Compensation arrangements disclosed on Form ADV. A fee-based firm may earn both client fees and product commissions; ask which applies to you.
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Common questions about Rockefeller Capital Management
How much does Rockefeller Capital Management manage?
Per its most recent SEC Form ADV filing (03/31/2026), Rockefeller Capital Management reports $37B in regulatory assets under management across roughly 11k client accounts.
How does Rockefeller Capital Management charge?
Rockefeller Capital Management is a fee-based firm. Its disclosed compensation arrangements are: % of assets, Commissions. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Rockefeller Capital Management a fiduciary?
Yes. Rockefeller Capital Management is registered with the U.S. Securities and Exchange Commission (CRD #294197), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Rockefeller Capital Management taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Rockefeller Capital Management and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
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Profile compiled from Rockefeller Capital Management's public SEC Form ADV filing (CRD #294197, filed 03/31/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Rockefeller Capital Management. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Rockefeller Capital Management? Claim this profile.