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ROCKEFELLER CAPITAL MANAGEMENT

NEW YORK, NY · CRD 291361 · IAPD ↗ · 212-549-5100

$99.60BRegulatory AUM
815Advisory reps
1005Employees
223Clients
11-25Planning clients
0Private funds
53States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — ROCKEFELLER CAPITAL MANAGEMENT added office(s): 64 -> 67 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2026 — ROCKEFELLER CAPITAL MANAGEMENT reported RAUM up 42% ($70.03B -> $99.60B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — ROCKEFELLER CAPITAL MANAGEMENT grew from 748 to 815 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — ROCKEFELLER CAPITAL MANAGEMENT's Item 11 disclosure-reporting entries rose by 2 (1 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — ROCKEFELLER CAPITAL MANAGEMENT added office(s): 54 -> 64 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2025 — ROCKEFELLER CAPITAL MANAGEMENT reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
67
April 2025 — ROCKEFELLER CAPITAL MANAGEMENT reported RAUM up 35% ($51.82B -> $70.03B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2025 — ROCKEFELLER CAPITAL MANAGEMENT grew from 573 to 748 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2024 — ROCKEFELLER CAPITAL MANAGEMENT added office(s): 39 -> 54 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
69
April 2024 — ROCKEFELLER CAPITAL MANAGEMENT reported RAUM up 49% ($34.71B -> $51.82B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2024 — ROCKEFELLER CAPITAL MANAGEMENT grew from 405 to 573 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2024 — ROCKEFELLER CAPITAL MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.