SEC-Registered Investment Adviser
Rockefeller Capital Management
Legal name: Rockefeller & Co. LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 31, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- March 1, 2018
- Principal office
- 45 Rockefeller Plaza, Floor 5, New York, NY 10111
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 51
Scale
- Regulatory AUM
- $36.8B
- Discretionary / non-discretionary
- $31.8B / $5.0B
- Accounts
- 10,479
- Clients
- 423
- Employees
- 602, 372 in advisory roles
- Private funds advised
- 39
- Private fund gross assets
- $4.1B
- Fund types
- 1 hedge funds, 8 private equity funds, 1 venture capital funds, 29 other private funds
- Funds with Form D records
- 2 issuers in AltStreet's ledger, $87.2M reported sold across them
- Client assets in custody
- $35.2B (7,281 clients)
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting, selection of other advisers and other advisory activities
- Compensated by
- a percentage of assets under management, fixed fees and performance-based fees
- Client types
- individuals (other than high net worth) (3,335); high net worth individuals (2,596); banking or thrift institutions (0); investment companies (12); business development companies (0); pooled investment vehicles (47); pension and profit sharing plans (34); charitable organizations (87); state or municipal government entities (2); other investment advisers (0); insurance companies (3); sovereign wealth funds and foreign official institutions (0); corporations or other businesses (374); other (0)
- Also engaged as
- commodity pool operator or commodity trading advisor, insurance broker or agent and accountant or accounting firm
- Related persons include
- a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, a trust company, an accountant or accounting firm, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 2 investment advisers
- Wrap fee program
- Sponsors or manages a wrap fee program
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.