Rockefeller Capital Management

CRD#291361
Investment Advisor Firm

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Overview

Rockefeller Capital Management operates as an advisory firm located in New York, New York. The firm administers $34.7 billion in assets under management throughout 46,727 client accounts, making it one of the largest firms in the country by assets under management (AUM). Rockefeller Capital Management has a large team, including 405 financial advisors. Rockefeller Capital Management does not act as a registered broker-dealer, meaning the firm is not able to buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as tradable fiscal investments like options, bonds and stocks.

Rockefeller Capital Management manages most of the company's accounts in a discretionary manner. Discretionary management means that buy and sell choices are made by an investment advisor without needing to seek the customer's permission. Rockefeller Capital Management also oversees 1,473 non-discretionary accounts totaling $1.9 billion in AUM. The company manages about $742,780 in assets for each account. The average advisor at Rockefeller Capital Management oversees around 115 client accounts.

The firm's headquarters is located at 45 Rockefeller Plaza, New York, New York 10111. The company is allowed to serve investors across 51 U.S. states and territories.

Assets Under Management

$34.7 billion

Number of Advisors

405

Disclosures

No

Office Location

45 Rockefeller Plaza
New York, NY 10111

Rockefeller Capital Management by the Numbers

Total Assets Under Management

$34.7 billion

National Average: $8.6 billion
Total Number of Employees

531

National Average: 64
Total Number of Accounts

46,727

National Average: 375,227
Average Account Size

$742.8 thousand

National Average: $23.0 thousand
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Products and Services

Rockefeller Capital Management provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. In the last fiscal year, Rockefeller Capital Management provided 1-10 of its clients with financial planning services. Rockefeller Capital Management is not engaged in selling products or offering services other than investment advisory services to its investment advisory accounts. Rockefeller Capital Management also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, trust company, accountant or accounting firm, insurance company or agency and commodity pool advisor.

Core Advisor Services

  • Offered by 31% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 46% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 20% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees charged by financial advisors usually are based on which services are offered. However, fee types charged by the company likely include any blend of the following fee structures: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Rockefeller Capital Management.

Available

  • Offered by 69% of firms

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 32% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm works with a number of different investors. Rockefeller Capital Management caters to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 46,727 accounts, Rockefeller Capital Management's biggest client by number of accounts is retail investors, but it also manages money for 6,389 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 28.62%
  • Other Individuals - 65.09%
  • Corporations - 5.32%
  • Charitable Organizations - 0.96%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Rockefeller Capital Management does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Rockefeller Capital Management

Summer Macallister
San Francisco, CA
Mason Liu
Boca Raton, FL
Amy Labarge
Atlanta, GA
Janelle Cromwell
Olympia, WA
Trisha Fountain
Cincinnati, OH
Max Podlone
Los Gatos, CA
Richard Schmock
Scottsdale, AZ
Andrew Karr
Atlanta, GA
Michael Buss
Dallas, TX

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