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ROCKEFELLER CAPITAL MANAGEMENT
Legal name: ROCKEFELLER & CO. LLC
CRD 294197File 801-113009
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$36.76B
Top 10% of cohort (national)
Discretionary AUM
$31.80B
Non-discretionary $4.96B
Clients
6,490
10,479 accounts
Employees
602
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 1, 2018
- Principal office
- 45 ROCKEFELLER PLAZA, FLOOR 5, NEW YORK, NY, 10111
- Phone
- 212-549-5100
- Website
- https://rockefelleretfs.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $36.76B
- Discretionary AUM
- $31.80B
- Non-discretionary AUM
- $4.96B
- Discretionary accounts
- 9,918
- Non-discretionary accounts
- 561
- Total accounts
- 10,479
- AUM per client
- $5.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 374 | $2.99B |
| Insurance companies | Fewer than 5 | $119.5M |
| Investment companies | 12 | $3.71B |
| Charitable organizations | 87 | $2.28B |
| High net worth individuals | 2,596 | $21.05B |
| Pooled investment vehicles | 47 | $4.70B |
| Pension and profit sharing plans | 34 | $130.4M |
| State or municipal government entities | Fewer than 5 | $184.7M |
| Individuals (other than high net worth individuals) | 3,335 | $1.60B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11D2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 554 | 602 | increased by48 |
| Apr 1, 2026 | Clients | 5,636 | 6,490 | increased by854 |
| Apr 1, 2026 | AUM | $32,587,849,166 | $36,764,098,197 | increased by$4,176,249,031 |
| Apr 1, 2026 | Accounts | 9,530 | 10,479 | increased by949 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 405 | 554 | increased by149 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,577 | 5,636 | increased by4,059 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $25,534,822,903 | $32,587,849,166 | increased by$7,053,026,263 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,249 | 9,530 | increased by4,281 |
| May 1, 2022 | Clients | 1,570 | 1,577 | increased by7 |
| May 1, 2022 | AUM | $25,286,174,798 | $25,534,822,903 | increased by$248,648,105 |
| May 1, 2022 | Accounts | 5,242 | 5,249 | increased by7 |
| Apr 1, 2022 | Employees | 330 | 405 | increased by75 |
| Apr 1, 2022 | Clients | 1,420 | 1,570 | increased by150 |
| Apr 1, 2022 | AUM | $23,782,907,681 | $25,286,174,798 | increased by$1,503,267,117 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ROCKEFELLER CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROCKEFELLER CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
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.