Rockefeller & Co. Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 294197
· SEC file 801-113009
· New York, NY
· www.rockco.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $36.8B
- Discretionary
- $31.8B
- Clients
- 6,490
- Avg AUM / client
- $5.7M
- Accounts
- 10,479
- Employees
- 602
AUM over time
$15.0B
$36.8B
Dec 2017
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026
Exchange-traded equities
$13.6B
37%
State & local bonds
$8.1B
22%
Registered investment companies (funds/ETFs)
$6.6B
18%
Pooled investment vehicles
$3.3B
9%
US government & agency bonds
$2.9B
8%
Cash & equivalents
$1.5B
4%
Investment-grade corporate bonds
$1.1B
3%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,335 | $1.6B | 4.35% |
| High net worth individuals | 2,596 | $21.1B | 57.3% |
| Investment companies | 12 | $3.7B | 10.1% |
| Pooled investment vehicles (non-investment companies) | 47 | $4.7B | 12.8% |
| Pension and profit sharing plans | 34 | $130M | 0.35% |
| Charitable organizations | 87 | $2.3B | 6.2% |
| State or municipal government entities | 2 | $185M | 0.5% |
| Insurance companies | 3 | $119M | 0.33% |
| Corporations and other businesses | 374 | $3.0B | 8.13% |
Private funds (46)
View all →Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $3.2B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Vantagerock Capital Master Fund Lp master | Hedge Fund | Cayman Islands | $766M | 643 |
| Rockefeller Us Small Capitalization Fund Qp, L.P. | Other Private Fund | Delaware | $310M | 134 |
| Rockefeller Balanced Fund, Lp | Other Private Fund | New York | $300M | 54 |
| Titan Space Fund Lp | Private Equity Fund | Delaware | $228M | 236 |
| Rockefeller Global Equity Fund Ii Qp, Lp | Other Private Fund | Delaware | $184M | 80 |
| Libra Fossil Fuel Free Fund, Lp | Other Private Fund | Delaware | $176M | 64 |
| Rockefeller Access Fund 2015, Llc | Other Private Fund | Delaware | $124M | 107 |
| Rockefeller & Co. U.S. Small Capitalization Fund, L.P. | Other Private Fund | Delaware | $109M | 79 |
| Titan Falcons Lp (F/K/A Spearhead Falcons Lp) | Private Equity Fund | Delaware | $99.4M | 38 |
| Libra Fund Qp, Lp | Other Private Fund | Delaware | $85.9M | 25 |
| Rockefeller Private Equity Partners Ii, Llc | Other Private Fund | Delaware | $73.1M | 59 |
| Rockefeller Global Equity Fund Ii, Lp | Other Private Fund | New York | $71.7M | 55 |
| Rockefeller U.S. Equity Fund Ii Lp | Other Private Fund | Delaware | $64.9M | 7 |
| Libra Fund, Lp | Other Private Fund | Delaware | $53.6M | 34 |
| Greer Anderson Global Partners, L.P. | Other Private Fund | Delaware | $52.2M | 29 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Fleis & Vandenbrink Engineering Inc Employee Stock Ownership Plan F & V Companies Inc | 2024 | |
| Safari Circuits, Llc 401(k) Plan Safari Circuits, Llc | 2024 | |
| The United Construction Workers Retirement And 401(k) Savings Plan Joint Board Of Trusteess | 2024 |
People (350)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Halvorsen, Ole, Andreas | Limited Partner | Apr 1999 (27y) | ≈ 1.76% – 18.75% via Viking Global Investors Lp | |
| Ott, David, Christopher | Limited Partner | Apr 1999 (27y) | ≈ 1.76% – 18.75% via Viking Global Investors Lp | |
| Fleming, Gregory, James | President & Chief Executive Officer | Mar 2018 (8y) | Less than 5% | |
| Mccarthy, Timothy, Joseph | Chief Compliance Officer And Chief Counsel | Mar 2018 (8y) | Less than 5% | |
| Moriarty, Edmond, Nicholas | Chief Operating Officer | Mar 2018 (8y) | Less than 5% | |
| Fenrich, William, Joseph | Secretary | Nov 2020 (6y) | Less than 5% | |
| Schachter, Alison, Thomas | Chief Financial Officer | Oct 2022 (4y) | Less than 5% | |
| Brian Conan Cuneo | Registered representative | Jul 2022 (4y) | ||
| Brianna Widrick Ritz | Registered representative | Jul 2022 (4y) | ||
| Cale Leonard Van Buren | Registered representative | Jul 2022 (4y) | ||
| Carissa L. Morganstein | Registered representative | Jul 2022 (4y) | ||
| Elaine Marie Powell | Registered representative | Jul 2022 (4y) | ||
| Keith Joseph Bernard | Registered representative | Jul 2022 (4y) | ||
| Michelle Lynn Matan | Registered representative | Jul 2022 (4y) | ||
| Nicholas Matthew Peters | Registered representative | Jul 2022 (4y) | ||
| Thomas Lane Epperson | Registered representative | Apr 2023 (3y) | ||
| Anne Blohm Golden | Registered representative | Jul 2023 (3y) | ||
| Elizabeth Anne Palomeque | Registered representative | CFP | Jul 2023 (3y) | |
| Kristin Kaye Nicholson | Registered representative | CFP CFA | Jul 2023 (3y) | |
| Leah Marie D'agostino | Registered representative | CFP | Jul 2023 (3y) | |
| Lisa Marie Kitchin | Registered representative | CFP | Jul 2023 (3y) | |
| Margaret Ann Pierattini | Registered representative | CFP | Jul 2023 (3y) | |
| Brian James Henderson | Registered representative | Aug 2023 (3y) | ||
| Craig Steven Janus | Registered representative | CFP | Aug 2023 (3y) | |
| Kellyann Risler | Registered representative | Aug 2023 (3y) | ||
| David Anthony Mendoza | Registered representative | Sep 2023 (3y) | ||
| Elizabeth B Mckown | Registered representative | Sep 2023 (3y) | ||
| Matthew D Mendoza | Registered representative | Sep 2023 (3y) | ||
| Max Charles Norton Podlone | Registered representative | Sep 2023 (3y) | ||
| Jarrett Todd Bostwick | Registered representative | Oct 2023 (3y) | ||
| Todd Matthew Walters | Registered representative | Oct 2023 (3y) | ||
| Bernard A Machlovitch | Registered representative | Oct 2023 (3y) | ||
| Hans S Maentz | Registered representative | Oct 2023 (3y) | ||
| Casey Collins Clark | Registered representative | Oct 2023 (3y) | ||
| Rebecca Michele Mineo | Registered representative | Jan 2024 (3y) | ||
| John Butler Horton | Registered representative | Jan 2024 (3y) | ||
| Al Palkovich | Registered representative | Feb 2024 (2y) | ||
| Edward Moldaver | Registered representative | Feb 2024 (2y) | ||
| Elaine Marie Sillery | Registered representative | Feb 2024 (2y) | ||
| Heather Gelchion | Registered representative | Feb 2024 (2y) | ||
| James J Lee | Registered representative | Feb 2024 (2y) | ||
| Russell Dunbar Bowman | Registered representative | CFP | Feb 2024 (2y) | |
| Steven John Celeste | Registered representative | Feb 2024 (2y) | ||
| Christopher Michael Bell | Registered representative | Feb 2024 (2y) | ||
| Coley Patrick Cassidy | Registered representative | CFA | Feb 2024 (2y) | |
| John Winthrop Claghorn | Registered representative | Feb 2024 (2y) | ||
| John Winthrop Claghorn | Registered representative | Feb 2024 (2y) | ||
| Mason Xian Wang Liu | Registered representative | Feb 2024 (2y) | ||
| William Mckay Jump Claghorn | Registered representative | Feb 2024 (2y) | ||
| Charles Wesley Hartford | Registered representative | Feb 2024 (2y) | ||
| David Evan Farber | Registered representative | CFP | Feb 2024 (2y) | |
| David Patrick Higgins | Registered representative | Feb 2024 (2y) | ||
| Esma Bajraktarevic | Registered representative | Feb 2024 (2y) | ||
| Evan Bradley Georgiou | Registered representative | Feb 2024 (2y) | ||
| Frederick Donald Farnsworth | Registered representative | Feb 2024 (2y) | ||
| John Marshall Duane | Registered representative | Feb 2024 (2y) | ||
| Joseph Richard Kissinger | Registered representative | Feb 2024 (2y) | ||
| Kevin C Finley | Registered representative | Feb 2024 (2y) | ||
| Larry Lee Rothenberg | Registered representative | Feb 2024 (2y) | ||
| Michael C Amato | Registered representative | CFP | Feb 2024 (2y) | |
| Peter Schuyler Quackenbush | Registered representative | Feb 2024 (2y) | ||
| Samuel Haggis Hodgson | Registered representative | CFP | Feb 2024 (2y) | |
| Schuyler Hallett Perry | Registered representative | CFP | Feb 2024 (2y) | |
| Shaun Michael Van Vliet | Registered representative | CFP | Feb 2024 (2y) | |
| Thomas Crete Tabor | Registered representative | Feb 2024 (2y) | ||
| Timothy Deygoo | Registered representative | CFP | Feb 2024 (2y) | |
| William Churchill Curtis | Registered representative | Feb 2024 (2y) | ||
| Adam Scott Abramson | Registered representative | CFP | Feb 2024 (2y) | |
| Amber J Dornell | Registered representative | Feb 2024 (2y) | ||
| Andrew A Levin | Registered representative | Feb 2024 (2y) | ||
| Angela Kaya Mwanza | Registered representative | Feb 2024 (2y) | ||
| April Leigh Gay | Registered representative | Feb 2024 (2y) | ||
| Emery Bourne | Registered representative | Feb 2024 (2y) | ||
| Hunter Steven Hamm | Registered representative | Feb 2024 (2y) | ||
| John Harrison Sargent | Registered representative | Feb 2024 (2y) | ||
| John Robert Montgomery | Registered representative | Feb 2024 (2y) | ||
| Jordan James Powell | Registered representative | CFA | Feb 2024 (2y) | |
| Kelly Sandefer Dennis | Registered representative | Feb 2024 (2y) | ||
| Kenneth Eugene Milano | Registered representative | Feb 2024 (2y) | ||
| Kent Ray Weaver | Registered representative | Feb 2024 (2y) | ||
| Michael Joseph Merlin | Registered representative | CFP | Feb 2024 (2y) | |
| Michael P Wallace | Registered representative | Feb 2024 (2y) | ||
| Michael Paul Athanas | Registered representative | Feb 2024 (2y) | ||
| Michael Anderson | Registered representative | CFA | Feb 2024 (2y) | |
| Michael Patrick Hall | Registered representative | Feb 2024 (2y) | ||
| Michael Thomas Lepore | Registered representative | Feb 2024 (2y) | ||
| Pedro Jaime Marti | Registered representative | Feb 2024 (2y) | ||
| Richard Lawrence Schmock | Registered representative | Feb 2024 (2y) | ||
| Sean Ellsworth Houston | Registered representative | Feb 2024 (2y) | ||
| Brian Mark Lusink | Registered representative | Feb 2024 (2y) | ||
| Matthew William Willis | Registered representative | Feb 2024 (2y) | ||
| Daniel N Marchon | Registered representative | CFA | Feb 2024 (2y) | |
| Andrew Michael Karr | Registered representative | Mar 2024 (2y) | ||
| Daniel Bennett Selcow | Registered representative | Mar 2024 (2y) | ||
| Neva Elyse Hagopian | Registered representative | Mar 2024 (2y) | ||
| Peter John Clarke | Registered representative | Mar 2024 (2y) | ||
| Tammi A Lauder | Registered representative | Mar 2024 (2y) | ||
| William Eric Christian | Registered representative | Mar 2024 (2y) | ||
| Anis Salah | Registered representative | Mar 2024 (2y) | ||
| Craig D Pollock | Registered representative | Mar 2024 (2y) | ||
| Gary G Pollock | Registered representative | CFP | Mar 2024 (2y) | |
| Matthew Ryan Gallup | Registered representative | Mar 2024 (2y) | ||
| Mary Ambrusko Bennett | Registered representative | Apr 2024 (2y) | ||
| Scott Lee Stewart | Registered representative | Apr 2024 (2y) | ||
| Brett Douglas Thelander | Registered representative | Aug 2024 (2y) | ||
| Kristen Jo Sario | Registered representative | Aug 2024 (2y) | ||
| Lydia Capcarova Lescht | Registered representative | Aug 2024 (2y) | ||
| Ryan Michael Mcdonald | Registered representative | Aug 2024 (2y) | ||
| Kristin M Justavino | Registered representative | Aug 2024 (2y) | ||
| Robert Craig Obrien | Registered representative | Aug 2024 (2y) | ||
| Alison Ann Devries | Registered representative | Aug 2024 (2y) | ||
| Anthony Michael Lindner | Registered representative | Aug 2024 (2y) | ||
| Ashley Calderon | Registered representative | Aug 2024 (2y) | ||
| Cynthia Guerrero | Registered representative | Aug 2024 (2y) | ||
| Debra Andrea Veselitza | Registered representative | Aug 2024 (2y) | ||
| Erin Elizabeth Kasik | Registered representative | Aug 2024 (2y) | ||
| Jeffrey Hurst Miller | Registered representative | Aug 2024 (2y) | ||
| John Patrick Perry | Registered representative | Aug 2024 (2y) | ||
| Justin Richland Walker | Registered representative | Aug 2024 (2y) | ||
| Lance Owen Burks | Registered representative | Aug 2024 (2y) | ||
| Melissa M Seibert | Registered representative | Aug 2024 (2y) | ||
| Sally Lee Kreisler | Registered representative | Aug 2024 (2y) | ||
| Shane Timothy Twomey | Registered representative | Aug 2024 (2y) | ||
| Vicki Sue Strine | Registered representative | Aug 2024 (2y) | ||
| John Ciaramitaro | Registered representative | Aug 2024 (2y) | ||
| Diana Regina Kleper Gilkes | Registered representative | Aug 2024 (2y) | ||
| Jacqueline Leigh Byrne | Registered representative | Aug 2024 (2y) | ||
| Joel Thomas Amador | Registered representative | Aug 2024 (2y) | ||
| Latoya Bagwell | Registered representative | Aug 2024 (2y) | ||
| Megan Taylor Miles | Registered representative | Aug 2024 (2y) | ||
| Michael Richard Armondo | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Michael Wayne Outlaw | Registered representative | Aug 2024 (2y) | ||
| Monica L Lyssy | Registered representative | Aug 2024 (2y) | ||
| Sean Kennedy | Registered representative | Aug 2024 (2y) | ||
| Tracy Ann Gravius | Registered representative | CFP | Aug 2024 (2y) | |
| Elias V Stambolis | Registered representative | Aug 2024 (2y) | ||
| Ronald Samuel Ventura | Registered representative | Aug 2024 (2y) | ||
| Kevin Langan Finin | Registered representative | CFA | Sep 2024 (2y) | |
| Corey Tiller | Registered representative | CFA | Sep 2024 (2y) | |
| Michael Nicholas Bapis | Registered representative | Dec 2024 (2y) | ||
| Nick M Bapis | Registered representative | Dec 2024 (2y) | ||
| Charles Monroe Vetters | Registered representative | CFP | Jan 2025 (2y) | |
| James S Venetos | Registered representative | Jan 2025 (2y) | ||
| Peter J. Venetos | Registered representative | CFA | Jan 2025 (2y) | |
| Mark Eric Dahl | Registered representative | Jan 2025 (2y) | ||
| Justin De Lisi | Registered representative | Jan 2025 (2y) | ||
| Kathy S Dyer | Registered representative | Jan 2025 (2y) | ||
| Kristen Donato | Registered representative | Jan 2025 (2y) | ||
| Maninder S Lail | Registered representative | Jan 2025 (2y) | ||
| Sean Aloysius Bergin | Registered representative | Jan 2025 (2y) | ||
| William Michael Ramette | Registered representative | Jan 2025 (2y) | ||
| Wade Howard Hartz | Registered representative | Jan 2025 (2y) | ||
| Buffy Armstrong Leonard | Registered representative | Jan 2025 (2y) | ||
| Dedra Brust | Registered representative | CFP | Jan 2025 (2y) | |
| Jacqueline Ellen Dufresne | Registered representative | Jan 2025 (2y) | ||
| Jeffrey James Pollard | Registered representative | Jan 2025 (2y) | ||
| John Edward Carl | Registered representative | Jan 2025 (2y) | ||
| Raymond Clark Hoiles Bryan | Registered representative | Jan 2025 (2y) | ||
| Jason Ross Mingelgreen | Registered representative | CFA | Feb 2025 (1y) | |
| John Christopher Broderick | Registered representative | Feb 2025 (1y) | ||
| John Broderick | Registered representative | CFA | Feb 2025 (1y) | |
| Robert J Carr | Registered representative | Feb 2025 (1y) | ||
| Andrew J Meyer | Registered representative | Feb 2025 (1y) | ||
| James G De Martini | Registered representative | Feb 2025 (1y) | ||
| Lorna F Meyer | Registered representative | Feb 2025 (1y) | ||
| William M Meyer | Registered representative | Feb 2025 (1y) | ||
| Lynda Ann Tormey | Registered representative | Feb 2025 (1y) | ||
| Samuel Gray Larsen | Registered representative | Mar 2025 (1y) | ||
| Eric V Franz | Registered representative | Mar 2025 (1y) | ||
| Greg Rhodes | Registered representative | Mar 2025 (1y) | ||
| Jason M. Ladner | Registered representative | Mar 2025 (1y) | ||
| John A Bazan | Registered representative | Mar 2025 (1y) | ||
| Timothy Porcher White | Registered representative | CFP | Mar 2025 (1y) | |
| Angeline Pamela Newman | Registered representative | Apr 2025 (1y) | ||
| Daniel Riordan | Registered representative | Apr 2025 (1y) | ||
| Eric William Schenk | Registered representative | CFP | Apr 2025 (1y) | |
| Jack Robert Worth | Registered representative | Apr 2025 (1y) | ||
| Julia Jane Chase | Registered representative | CFP | Apr 2025 (1y) | |
| Raymond L. Chase | Registered representative | CFP | Apr 2025 (1y) | |
| Dean Charles Turner | Registered representative | CFP | Apr 2025 (1y) | |
| Kanwar Manjot Singh | Registered representative | Apr 2025 (1y) | ||
| Matthew David Belfanti | Registered representative | Apr 2025 (1y) | ||
| Rajeev Rathi | Registered representative | Apr 2025 (1y) | ||
| Steven Coleman | Registered representative | Apr 2025 (1y) | ||
| Peter I. Isaac Myers | Registered representative | Apr 2025 (1y) | ||
| Margaret M Simmons | Registered representative | May 2025 (1y) | ||
| Rachel Zhang | Registered representative | May 2025 (1y) | ||
| Joseph J Nacca | Registered representative | CFP | May 2025 (1y) | |
| Brett Howard Dulyea | Registered representative | CFA | May 2025 (1y) | |
| Mike A Vivas | Registered representative | Jun 2025 (1y) | ||
| John Lynch | Registered representative | CFP | Jun 2025 (1y) | |
| Karleen Madeleine Halliwell | Registered representative | Jun 2025 (1y) | ||
| Laura Raybin Miller | Registered representative | Jun 2025 (1y) | ||
| Leonard Jay Suskind | Registered representative | Jun 2025 (1y) | ||
| Seth Neil Ripple | Registered representative | CFP | Jun 2025 (1y) | |
| Theodore Alexander Mpatsios Pappas | Registered representative | Jun 2025 (1y) | ||
| Emily Kramer Rubin | Registered representative | Jul 2025 (1y) | ||
| Kenneth J. Shapiro | Registered representative | Jul 2025 (1y) | ||
| Madeline Audrey Irvin | Registered representative | Jul 2025 (1y) | ||
| Samantha Clarke Wagner | Registered representative | Jul 2025 (1y) | ||
| Spenser Yeager | Registered representative | CFP | Jul 2025 (1y) | |
| Stacey Marie Betsch | Registered representative | Jul 2025 (1y) | ||
| Thomas Joseph Livaccari | Registered representative | CFP | Jul 2025 (1y) | |
| Todd W Ives | Registered representative | CFP | Jul 2025 (1y) | |
| Melinda Jane Perry | Registered representative | Aug 2025 (1y) | ||
| Andrew David Horowitz | Registered representative | Aug 2025 (1y) | ||
| Christopher Robert Farr | Registered representative | Aug 2025 (1y) | ||
| Kevin Ronald Kramer | Registered representative | Aug 2025 (1y) | ||
| Neil Martin | Registered representative | Aug 2025 (1y) | ||
| Tony Hao Yi Chang | Registered representative | Aug 2025 (1y) | ||
| Zachary J Bond Stefo | Registered representative | Aug 2025 (1y) | ||
| Frank Willis | Registered representative | Aug 2025 (1y) | ||
| John George Uriostegui | Registered representative | Aug 2025 (1y) | ||
| Matthew Michael Richeda | Registered representative | CFP | Aug 2025 (1y) | |
| Robert Lincoln Panetti | Registered representative | CFA | Aug 2025 (1y) | |
| Rod Yoshio Nakamoto | Registered representative | CFP | Aug 2025 (1y) | |
| Shirley Heller Quackenbush | Registered representative | Aug 2025 (1y) | ||
| Stephen Edward White | Registered representative | Aug 2025 (1y) | ||
| Alexander F Barrett | Registered representative | Aug 2025 (1y) | ||
| Matthew Birkett | Registered representative | CFP | Aug 2025 (1y) | |
| Alpesh R Patel | Registered representative | Aug 2025 (1y) | ||
| Hai Uy Tran Dang | Registered representative | Aug 2025 (1y) | ||
| Jason Andres Zilveti | Registered representative | Aug 2025 (1y) | ||
| John E Miller | Registered representative | Aug 2025 (1y) | ||
| Joy Anne Marie Gonzales | Registered representative | Aug 2025 (1y) | ||
| Ryan Thomas Papez | Registered representative | CFP | Aug 2025 (1y) | |
| Stefan Max Oglevee | Registered representative | Aug 2025 (1y) | ||
| Stefan Wilford Oglevee | Registered representative | Aug 2025 (1y) | ||
| Mia Lynn Cardwell | Registered representative | CFP | Aug 2025 (1y) | |
| Michael Angelo Loizzi | Registered representative | CFA | Aug 2025 (1y) | |
| Alessandra Sirabella | Registered representative | CFP | Aug 2025 (1y) | |
| Scott Baxter Rosenblum | Registered representative | Aug 2025 (1y) | ||
| Bruce Tenenbaum | Registered representative | Aug 2025 (1y) | ||
| Cheryl Lynn Young | Registered representative | CFP | Aug 2025 (1y) | |
| Donny Chu | Registered representative | Aug 2025 (1y) | ||
| John Francis Mcmahon | Registered representative | Aug 2025 (1y) | ||
| Robert John Fink | Registered representative | CFP | Aug 2025 (1y) | |
| Zachary Michael Ammirato | Registered representative | Aug 2025 (1y) | ||
| Anna Kelly | Registered representative | CFP | Aug 2025 (1y) | |
| David Bruce Miracle | Registered representative | Aug 2025 (1y) | ||
| Glenn E Mealey | Registered representative | Aug 2025 (1y) | ||
| James D. Sandfort | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Michael Kevin Buss | Registered representative | Aug 2025 (1y) | ||
| Neil David Rubinstein | Registered representative | Aug 2025 (1y) | ||
| Ryan Edward Barcena | Registered representative | Aug 2025 (1y) | ||
| Tyler Ressel | Registered representative | Aug 2025 (1y) | ||
| Arthur Goodall Alexander | Registered representative | Aug 2025 (1y) | ||
| Keven John Donohue | Registered representative | Sep 2025 (1y) | ||
| Bradley Steven Holmes | Registered representative | CFA | Sep 2025 (1y) | |
| Bruce William Lombardi | Registered representative | Sep 2025 (1y) | ||
| Clifton Tyler Fink | Registered representative | Sep 2025 (1y) | ||
| Colin Quinn | Registered representative | CFP | Sep 2025 (1y) | |
| Gino Louis Pace | Registered representative | Sep 2025 (1y) | ||
| Marguerite Susan Robinson | Registered representative | CFP | Sep 2025 (1y) | |
| Matthew Tobin Panarese | Registered representative | Sep 2025 (1y) | ||
| Michael Lawrence Siden | Registered representative | Sep 2025 (1y) | ||
| Matthew William Gruseke | Registered representative | Sep 2025 (1y) | ||
| Samuel Edens Wilson | Registered representative | Sep 2025 (1y) | ||
| Steven Michael Cohen | Registered representative | Sep 2025 (1y) | ||
| Jordan Alexander Hawks | Registered representative | Sep 2025 (1y) | ||
| Jennifer Graves | Registered representative | Oct 2025 (1y) | ||
| Mathew Trevor Klody | Registered representative | CFA | Oct 2025 (1y) | |
| Leo Andrew Harrison | Registered representative | Oct 2025 (1y) | ||
| Lehman C Mc Nabb | Registered representative | Oct 2025 (1y) | ||
| Will Jorgensen Ginger | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Nan J Ginger | Registered representative | Oct 2025 (1y) | ||
| Jessica Myra Lee | Registered representative | Oct 2025 (1y) | ||
| Christine Diane Geoffray | Registered representative | Oct 2025 (1y) | ||
| Jacqueline Lavonne Riggs | Registered representative | CFP | Oct 2025 (1y) | |
| Max E Severo | Registered representative | Oct 2025 (1y) | ||
| Paul Vladimir Urbanek | Registered representative | Oct 2025 (1y) | ||
| Rocio Hernandez | Registered representative | CFP | Oct 2025 (1y) | |
| Scott James Picklo | Registered representative | Oct 2025 (1y) | ||
| Xiao Peng Liu | Registered representative | Oct 2025 (1y) | ||
| Brian Ross Saltzman | Registered representative | Oct 2025 (1y) | ||
| Christopher Lee Apgar | Registered representative | Oct 2025 (1y) | ||
| Gregory Robert Swenson | Registered representative | Oct 2025 (1y) | ||
| Anthony Ferrandino | Registered representative | Oct 2025 (1y) | ||
| Christopher G Di Medio | Registered representative | Oct 2025 (1y) | ||
| Jonathan Richard Battillo | Registered representative | CFP | Oct 2025 (1y) | |
| Kyle David Comerford | Registered representative | CFP | Oct 2025 (1y) | |
| Patrick Thomas Sweet | Registered representative | CFP | Oct 2025 (1y) | |
| Patrick Unrath | Registered representative | Oct 2025 (1y) | ||
| Percy Lee Mason | Registered representative | Oct 2025 (1y) | ||
| Sean Brendan Arnold | Registered representative | CFP | Oct 2025 (1y) | |
| Sean Moreland | Registered representative | CFP | Oct 2025 (1y) | |
| Josef Runes Najar | Registered representative | Oct 2025 (1y) | ||
| Mary Watson Hayes | Registered representative | Oct 2025 (1y) | ||
| David Philip Eder | Registered representative | Nov 2025 (1y) | ||
| Douglas Richard Linker | Registered representative | Nov 2025 (1y) | ||
| Georgina Nico | Registered representative | Nov 2025 (1y) | ||
| John Christopher Rapport | Registered representative | CFP | Nov 2025 (1y) | |
| Noel Hodges | Registered representative | Nov 2025 (1y) | ||
| Scott N Breckenridge | Registered representative | Nov 2025 (1y) | ||
| Sean Cunneff Seese | Registered representative | Nov 2025 (1y) | ||
| Brian K Malloy | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Hunter Harvey | Registered representative | Nov 2025 (1y) | ||
| John Lahoud | Registered representative | Nov 2025 (1y) | ||
| Adam Wade Deal | Registered representative | Nov 2025 (1y) | ||
| Jason T Douglas | Registered representative | CFP | Nov 2025 (1y) | |
| Jenny Rebecca Naylor | Registered representative | Nov 2025 (1y) | ||
| Blake Franklin Bruce | Registered representative | Nov 2025 (1y) | ||
| Chad Garrett Hermanson | Registered representative | Nov 2025 (1y) | ||
| David Michael Harvan | Registered representative | CFP | Nov 2025 (1y) | |
| Donis Noe Smith | Registered representative | CFP | Nov 2025 (1y) | |
| Forrest Michael Faro | Registered representative | Nov 2025 (1y) | ||
| Gehret Davis Shemeld | Registered representative | Nov 2025 (1y) | ||
| Gunn Thongniyom | Registered representative | Nov 2025 (1y) | ||
| Jahan K Jewayni | Registered representative | CFP | Nov 2025 (1y) | |
| James Allen Mckenzie | Registered representative | Nov 2025 (1y) | ||
| John D Hanna | Registered representative | CFP | Nov 2025 (1y) | |
| John Frederick Embleton | Registered representative | Nov 2025 (1y) | ||
| Kenneth Robert Crowley | Registered representative | CFP | Nov 2025 (1y) | |
| Kyle Benjamin Faro | Registered representative | Nov 2025 (1y) | ||
| Kevin Rone Reed | Registered representative | Nov 2025 (1y) | ||
| Michael Charles Pearson | Registered representative | CFP | Nov 2025 (1y) | |
| Megan Fidler Payton | Registered representative | Nov 2025 (1y) | ||
| Ramy Georgy | Registered representative | Nov 2025 (1y) | ||
| Riley Alexander Stephenson | Registered representative | CFP | Nov 2025 (1y) | |
| Travis Joel Tidwell | Registered representative | Nov 2025 (1y) | ||
| Travis Matthew Propst | Registered representative | Nov 2025 (1y) | ||
| Ty Teifer Dickey | Registered representative | Nov 2025 (1y) | ||
| Vincent J Fiori | Registered representative | Nov 2025 (1y) | ||
| William Hunter Unrue | Registered representative | Nov 2025 (1y) | ||
| William P. Patterson | Registered representative | Nov 2025 (1y) | ||
| Edward A Jeter | Registered representative | Nov 2025 (1y) | ||
| Neil Sims Holmes | Registered representative | Nov 2025 (1y) | ||
| Emanuel Anthony Zalants | Registered representative | Nov 2025 (1y) | ||
| Eric B Hermanson | Registered representative | CFP | Nov 2025 (1y) | |
| Robert Andrew Hon | Registered representative | Nov 2025 (1y) | ||
| Gus Silva Roessler | Registered representative | Nov 2025 (1y) | ||
| Seth Alton Wheeler | Registered representative | CFP | Nov 2025 (1y) | |
| J. T Cowles | Registered representative | Jan 2026 (1y) | ||
| Thomas Casey Stamps | Registered representative | Feb 2026 (0y) | ||
| Justin Pace Ryan | Registered representative | Mar 2026 (0y) | ||
| Anthony David Solfaro | Registered representative | CFP | Mar 2026 (0y) | |
| Brenda Oconnor | Registered representative | Mar 2026 (0y) | ||
| Michael Thomas Eustace | Registered representative | Mar 2026 (0y) | ||
| John Wagner | Registered representative | Mar 2026 (0y) | ||
| Thomas Venable Patton | Registered representative | Mar 2026 (0y) | ||
| Victoria Gardiner Trotsky | Registered representative | Mar 2026 (0y) | ||
| Mark Joseph Panarese | Registered representative | Mar 2026 (0y) | ||
| Audrey N Wilcoxson | Registered representative | Apr 2026 (0y) | ||
| Brett Monsein | Registered representative | CFP | Jun 2026 (0y) | |
| David A Ruben | Registered representative | Jun 2026 (0y) | ||
| Elizabeth Dora Snyder | Registered representative | CFP | Jun 2026 (0y) | |
| Brittney Stephens | Registered representative | Jun 2026 (0y) | ||
| Brittany Rose Oladunjoye | Registered representative | Jun 2026 (0y) | ||
| Dimitrie Radinovic | Registered representative | Jun 2026 (0y) | ||
| Brenda J Cyprian | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rfs Opco Llc | Member | Mar 2018 | A | 75% or more |
| Rockefeller Capital Management L.P. | Member | Mar 2018 | B | ≈ 56.25% – 100% via Rfs Opco Llc |
| Viking Global Investors Lp | Voting Security Shareholder | Jan 2018 | B | ≈ 7.03% – 37.5% via Dragsa 30 Cayman Ltd. |
| Dragsa 24 Cayman Ltd. | Limted Partner | Mar 2018 | B | ≈ 14.06% – 50% via Rockefeller Capital Management L.P. |
| Dragsa 30 Cayman Ltd. | Limited Partner | Mar 2018 | B | ≈ 14.06% – 50% via Rockefeller Capital Management L.P. |
| Rockefeller Capital Management General Partner L.L.C. | General Partner | Oct 2017 | B | GP / trustee / elected manager of Rockefeller Capital Management L.P. (indirect) |
| Viking Global Partners Llc | General Partner | Apr 1999 | B | GP / trustee / elected manager of Viking Global Investors Lp (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Halvorsen, Ole, Andreas: 25% – 50% of Viking Global Investors Lp × 50% – 75% of Dragsa 30 Cayman Ltd. × 25% – 50% of Rockefeller Capital Management L.P. × 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 1.76% – 18.75% of the firm
- Ott, David, Christopher: 25% – 50% of Viking Global Investors Lp × 50% – 75% of Dragsa 30 Cayman Ltd. × 25% – 50% of Rockefeller Capital Management L.P. × 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 1.76% – 18.75% of the firm
- Rockefeller Capital Management L.P.: 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Viking Global Investors Lp: 50% – 75% of Dragsa 30 Cayman Ltd. × 25% – 50% of Rockefeller Capital Management L.P. × 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 7.03% – 37.5% of the firm
- Dragsa 24 Cayman Ltd.: 25% – 50% of Rockefeller Capital Management L.P. × 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Dragsa 30 Cayman Ltd.: 25% – 50% of Rockefeller Capital Management L.P. × 75% – 100% of Rfs Opco Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (46, $3.2B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Vantagerock Capital Master Fund Lp | Hedge Fund | $766M | $1.0M | 643 |
| Rockefeller Us Small Capitalization Fund Qp, L.P. | Other Private Fund | $310M | $100K | 134 |
| Rockefeller Balanced Fund, Lp | Other Private Fund | $300M | $100K | 54 |
| Titan Space Fund Lp | Private Equity Fund | $228M | $250K | 236 |
| Rockefeller Global Equity Fund Ii Qp, Lp | Other Private Fund | $184M | $100K | 80 |
| Libra Fossil Fuel Free Fund, Lp | Other Private Fund | $176M | $500K | 64 |
| Rockefeller Access Fund 2015, Llc | Other Private Fund | $124M | $500K | 107 |
| Rockefeller & Co. U.S. Small Capitalization Fund, L.P. | Other Private Fund | $109M | $100K | 79 |
| Titan Falcons Lp (F/K/A Spearhead Falcons Lp) | Private Equity Fund | $99.4M | $1.0M | 38 |
| Libra Fund Qp, Lp | Other Private Fund | $85.9M | $500K | 25 |
| Rockefeller Private Equity Partners Ii, Llc | Other Private Fund | $73.1M | $250K | 59 |
| Rockefeller Global Equity Fund Ii, Lp | Other Private Fund | $71.7M | $100K | 55 |
| Rockefeller U.S. Equity Fund Ii Lp | Other Private Fund | $64.9M | $100K | 7 |
| Libra Fund, Lp | Other Private Fund | $53.6M | $500K | 34 |
| Greer Anderson Global Partners, L.P. | Other Private Fund | $52.2M | $1.0M | 29 |
| Titan Prismre Lp | Private Equity Fund | $50.5M | $250K | 140 |
| Rockefeller International Equity Fund Ii Lp | Other Private Fund | $49.5M | $100K | 11 |
| Rockefeller Global Dividend Growth Fund Qp, Lp | Other Private Fund | $48.3M | $500K | 25 |
| Rockefeller Global Dividend Growth Fund | Other Private Fund | $47.4M | $100K | 44 |
| Rockefeller Global Equity Fund I, Lp | Other Private Fund | $46.0M | $100K | 19 |
| Rockefeller Access Fund 06 I, Llc | Other Private Fund | $41.2M | $500K | 94 |
| Greer Anderson Global Long, L.P. | Other Private Fund | $40.5M | $1.0M | 33 |
| Greer Anderson Global Diversified Idf, A Segregated Series Of Greer Anderson Capital Idf Llc | Other Private Fund | $39.1M | $500K | 9 |
| Titan Ag Lp | Private Equity Fund | $33.3M | $250K | 86 |
| Rockefeller Fintech Innovation Fund I Lp | Private Equity Fund | $26.6M | $250K | 67 |
Top 25 of 46 funds by gross assets · all funds
From Form ADV Section 7.B private fund reporting.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Fleis & Vandenbrink Engineering Inc Employee Stock Ownership Plan | F & V Companies Inc | 296 | $22.9M | 01/01/2024 |
| Safari Circuits, Llc 401(k) Plan | Safari Circuits, Llc | 161 | $8.5M | 01/01/2024 |
| The United Construction Workers Retirement And 401(k) Savings Plan | Joint Board Of Trusteess | 69 | $11.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 10.5 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Oct 23, 2024
Allegations: ROCKEFELLER & CO LLC WAS FINED BY THE SOUTH KOREAN FINANCIAL SERVICES COMMISSION ("FSC") FOR THE VIOLATION OF KOREAN SHORT SELLING RESTRICTION UNDER ARTICLE 180 (1) OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. TRADE ERROR RESULTED IN AN INADVERTENT SHORT POSITION AND PROMPTLY COVERED THE NEXT TRADING DAY. Status: Final Sanction Detail: ROCKEFELLER & CO LLC WILL RESOLVE THE MATTER THROUGH THE PAYMENT OF KRW 290,100,000 (APPROXIMATELY $200,000). Summary: ROCKEFELLER & CO LLC WAS FINED BY THE SOUTH KOREAN FINANCIAL SERVICES COMMISSION ("FSC") FOR THE VIOLATION OF KOREAN SHORT SELLING RESTRICTION UNDER ARTICLE 180 (1) OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. TRADE ERROR RESULTED IN AN INADVERTENT SHORT POSITION AND PROMPTLY COVERED THE NEXT TRADING DAY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $20.9B (57% of AUM) Mar 2026
- Charles Schwab & Co. $4.6B (14% of AUM) Dec 2025
- State Street $4.4B (16% of AUM) Oct 2024
- J.P. Morgan $2.7B (10% of AUM) Oct 2024
- Northern Trust $41.0M (0% of AUM) Dec 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗