ROCKEFELLER CAPITAL MANAGEMENT
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ROCKEFELLER CAPITAL MANAGEMENT
(CRD# 294197)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 2018.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$15.0 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
22%
of RAUM.
Non-US investors represent
6%
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ROCKEFELLER CAPITAL MANAGEMENT
also reported in
Mar 2019
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191
employees,
with
58
performing advisory functions.
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A total of 5 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ROCKEFELLER CAPITAL MANAGEMENT has no disclosure events reported to the SEC at this time.
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ROCKEFELLER CAPITAL MANAGEMENT has Notice Filings with the following State Securities Authorities: AL-Mar 2018, CA-Mar 2018, CO-Mar 2018, CT-Mar 2018, DC-Mar 2018
, DE-Mar 2018, FL-Mar 2018, GA-Mar 2019, HI-Mar 2019, MA-Mar 2018
, MD-Mar 2018, ME-Mar 2018, MI-Mar 2018, NH-Mar 2018, NJ-Mar 2018
, NY-Mar 2018, OH-Mar 2018, PA-Mar 2018, RI-Mar 2019, TN-Mar 2019
, UT-Mar 2019, VA-Mar 2018, VT-Mar 2018, WA-Mar 2018, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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