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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 Aug 17, 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
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 |
|---|---|---|---|
| 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.