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ROCKEFELLER CAPITAL MANAGEMENT
Legal name: ROCKEFELLER FINANCIAL LLC
CRD 291361File 801-114033
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$99.60B
Top 10% of cohort (national)
Discretionary AUM
$93.52B
Non-discretionary $6.08B
Clients
50,292
95,368 accounts
Employees
1,005
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Sep 21, 2018
- Principal office
- 45 ROCKEFELLER PLAZA, FLOOR 5, NEW YORK, NY, 10111
- Phone
- 212-549-5100
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $99.60B
- Discretionary AUM
- $93.52B
- Non-discretionary AUM
- $6.08B
- Discretionary accounts
- 92,609
- Non-discretionary accounts
- 2,759
- Total accounts
- 95,368
- AUM per client
- $2.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1,295 | $9.91B |
| Insurance companies | 3 | $470.8M |
| Charitable organizations | 275 | $2.40B |
| High net worth individuals | 15,255 | $69.36B |
| Pension and profit sharing plans | 911 | $4.41B |
| State or municipal government entities | 7 | $275.2M |
| Individuals (other than high net worth individuals) | 32,546 | $12.78B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.