Form ADV (full filing)
as of Mar 31, 2026
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FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: ROCKEFELLER CAPITAL MANAGEMENT CRD Number: 291361
Annual Amendment - All Sections Rev. 10/2021
3/31/2026 7:02:03 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal
prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the
information in Item 1 should be provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
ROCKEFELLER FINANCIAL LLC
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
ROCKEFELLER CAPITAL MANAGEMENT
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the
name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-114033
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
CIK Number
1723502
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 291361
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1: Number and Street 2:
45 ROCKEFELLER PLAZA FLOOR 5
City: State: Country: ZIP+4/Postal Code:
NEW YORK New York United States 10111
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If
you are applying for registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to
which you are applying for registration or with whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are reporting to the SEC as an exempt reporting adviser, list the largest twenty-five offices in terms of numbers of employees as of the end of your
most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9 AM - 5 PM
(3) Telephone number at this location:
212-549-5100
(4) Facsimile number at this location, if any:
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of
the end of your most recently completed fiscal year?
67
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and
LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D.
If a website address serves as a portal through which to access other information you have published on the web, you may list the portal without listing
addresses for all of the other information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly
available social media platforms where you do not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the
addresses of employee accounts on publicly available social media platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact
information for your Chief Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered
under the Investment Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS
Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions
about this Form ADV, you may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law,
somewhere other than your principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial
regulatory authority. If "yes," complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using
the total assets shown on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity
identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business
name.
Name: ROCKEFELLER CAPITAL MANAGEMENT
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR Other:
ID MT RI
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business
name.
Name: ROCKEFELLER GLOBAL FAMILY OFFICE
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR Other:
ID MT RI
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
271 WEST CANTON AVE., SUITE 100
City: State: Country: ZIP+4/Postal Code:
WINTER PARK Florida United States 32789
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
689-345-9410
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
806406
How many employees perform investment advisory functions from this office location?
16
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
100 FILLMORE STREET SUITE 600
City: State: Country: ZIP+4/Postal Code:
DENVER Colorado United States 80206
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
720-792-0161
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
780203
How many employees perform investment advisory functions from this office location?
3
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
750 UNIVERSITY AVE , SUITE 240
City: State: Country: ZIP+4/Postal Code:
LOS GATOS California United States 95032
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
669-499-4451
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
790081
How many employees perform investment advisory functions from this office location?
12
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
227 WEST MONROE SUITE 2450
City: State: Country: ZIP+4/Postal Code:
CHICAGO Illinois United States 60606
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(972) 761-5209
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
754129
How many employees perform investment advisory functions from this office location?
30
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
972-761-5041
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
853024
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
972-761-5071
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
853022
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
16090 SWINGLEY RIDGE ROAD SUITE 400
City: State: Country: ZIP+4/Postal Code:
CHESTERFIELD Missouri United States 63017
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(314) 887-6331
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
762455
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
45 OTTAWA AVE SW, SUITE 700
City: State: Country: ZIP+4/Postal Code:
GRAND RAPIDS Michigan United States 49503
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(616) 305-2994
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
827746
How many employees perform investment advisory functions from this office location?
24
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
713-832-8920
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
853021
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
300 FIRST STAMFORD PLACE SUITE 230
City: State: Country: ZIP+4/Postal Code:
STAMFORD Connecticut United States 06902
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(203)413-8772
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
765444
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
800 NEWPORT CENTER DRIVE SUITE 650
City: State: Country: ZIP+4/Postal Code:
NEWPORT BEACH California United States 92660
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(949) 736-5983
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
769562
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
500 BOYLSTON STREET SUITE 1300
City: State: Country: ZIP+4/Postal Code:
BOSTON Massachusetts United States 02116
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(857) 504-8691
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
762273
How many employees perform investment advisory functions from this office location?
20
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
711 S CAPITOL WAY SUITE 705
City: State: Country: ZIP+4/Postal Code:
OLYMPIA Washington United States 98501
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(360) 634-8330
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
764609
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
115 W. CENTURY ROAD SUITE 315
City: State: Country: ZIP+4/Postal Code:
PARAMUS New Jersey United States 07652
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(201) 879-9131
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
748743
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
2000 AVENUE OF THE STARS SUITE 530N
City: State: Country: ZIP+4/Postal Code:
LOS ANGELES California United States 90067
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
424-600-7950
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
724668
How many employees perform investment advisory functions from this office location?
29
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
5605 CARNEGIE BLVD., SUITE 220
City: State: Country: ZIP+4/Postal Code:
CHARLOTTE North Carolina United States 28209
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
980-392-2347
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
830846
How many employees perform investment advisory functions from this office location?
32
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
TWO EMBARCADERO CENTER SUITE 2320
City: State: Country: ZIP+4/Postal Code:
SAN FRANCISCO California United States 94111
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
415- 830-5790
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
706483
How many employees perform investment advisory functions from this office location?
28
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
30 S. KING STREET, SUITE 2C
City: State: Country: ZIP+4/Postal Code:
JACKSON Wyoming United States 83001
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
415-830-5773
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
825011
How many employees perform investment advisory functions from this office location?
3
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
561-617-8830
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
853043
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
2445 KUSER ROAD, SUITE 302 ZONA A
City: State: Country: ZIP+4/Postal Code:
HAMILTON New Jersey United States 08690
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
609-606-1711
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
789779
How many employees perform investment advisory functions from this office location?
24
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
4 CAUFIELD PLACE SUITE 101
City: State: Country: ZIP+4/Postal Code:
NEWTOWN Pennsylvania United States 18940
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(267) 840-9030
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
852437
How many employees perform investment advisory functions from this office location?
19
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
10 HOSPITAL CENTER COMMONS, SUITE 400
City: State: Country: ZIP+4/Postal Code:
HILTON HEAD ISLAND South Carolina United States 29926
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
470-903-6880
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
843630
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
713-804-6431
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
852978
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
9950 WOODLOCH FOREST TOWER, 4TH FLOOR
City: State: Country: ZIP+4/Postal Code:
THE WOODLANDS Texas United States 77380
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
713-832-8920
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
799672
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
200 S 10TH STREET, SUITE 950
City: State: Country: ZIP+4/Postal Code:
RICHMOND Virginia United States 23219
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
804-653-4703
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
830285
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
28601 CHAGRIN BLVD, SUITE 525
City: State: Country: ZIP+4/Postal Code:
WOODMERE Ohio United States 44122
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
216-770-6380
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
819458
How many employees perform investment advisory functions from this office location?
3
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
ONE TOWER BRIDGE 100 FRONT STREET, SUITE 1325
City: State: Country: ZIP+4/Postal Code:
CONSHOHOCKEN Pennsylvania United States 19428
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(610) 834-9820
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
730341
How many employees perform investment advisory functions from this office location?
14
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
5355 TOWN CENTER RD FLOOR 6
City: State: Country: ZIP+4/Postal Code:
BOCA RATON Florida United States 33486
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(561) 826-7777
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
731941
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
328 WEST MAIN STREET
City: State: Country: ZIP+4/Postal Code:
KENEDY Texas United States 78119
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(210) 890-3592
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
771538
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
2 BETHESDA METRO CENTER SUITE 800
City: State: Country: ZIP+4/Postal Code:
BETHESDA Maryland United States 20814
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(240) 956-4460
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
774351
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
3835 PGA BOULEVARD SUITE 401
City: State: Country: ZIP+4/Postal Code:
PALM BEACH GARDENS Florida United States 33410
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(561) 363-5830
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
774409
How many employees perform investment advisory functions from this office location?
18
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
525 WASHINGTON BOULEVARD - SUITE 1410
City: State: Country: ZIP+4/Postal Code:
JERSEY CITY New Jersey United States 08750
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(212) 549-5172
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
781390
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
669-499-4420
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
792526
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1900 BROADWAY STREET SUITE 660
City: State: Country: ZIP+4/Postal Code:
SAN ANTONIO Texas United States 78215
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(210) 890-3592
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
758184
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
3825 EDWARDS ROAD SUITE 630
City: State: Country: ZIP+4/Postal Code:
CINCINNATI Ohio United States 45209
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(212) 549-5452
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
759206
How many employees perform investment advisory functions from this office location?
16
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
609 SW 8TH STREET, 6TH FLOOR
City: State: Country: ZIP+4/Postal Code:
BENTONVILLE Arkansas United States 72712
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
479-429-3501
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
855966
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
12012 SOUTH SHORE BLVD., SUITE 112
City: State: Country: ZIP+4/Postal Code:
WELLINGTON Florida United States 33414
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
561-363-5861
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
790495
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1850 MT DIABLO BOULEVARD SUITE 300
City: State: Country: ZIP+4/Postal Code:
WALNUT CREEK California United States 94956
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(925) 951-6300
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
754220
How many employees perform investment advisory functions from this office location?
16
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1812 N MOORE ST, SUITE 1700
City: State: Country: ZIP+4/Postal Code:
ARLINGTON Virginia United States 22209
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
240-956--4457
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
822506
How many employees perform investment advisory functions from this office location?
18
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
200 W 6TH STREET SUITE 2600
City: State: Country: ZIP+4/Postal Code:
AUSTIN Texas United States 78701
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
512-615-1832
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
803012
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
404-410-8856
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
810278
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
300 CRESCENT COURT SUITE 1450
City: State: Country: ZIP+4/Postal Code:
DALLAS Texas United States 75201
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
214-572-8459
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
717860
How many employees perform investment advisory functions from this office location?
55
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
8 SOUND SHORE DRIVE
City: State: Country: ZIP+4/Postal Code:
GREENWICH Connecticut United States 06830
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(203) 717-6731
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
771125
How many employees perform investment advisory functions from this office location?
2
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
701 HARGER ROAD, SUITE 210
City: State: Country: ZIP+4/Postal Code:
OAK BROOK Illinois United States 60523
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
630-575-2315
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
815501
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
321 BROADWAY
City: State: Country: ZIP+4/Postal Code:
SARATOGA SPRINGS New York United States 12866
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
518-886-3450
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
722680
How many employees perform investment advisory functions from this office location?
38
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
2603 EAST PARLEYS WAY
City: State: Country: ZIP+4/Postal Code:
SALT LAKE CITY Utah United States 84109
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
801-736-9950
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
717400
How many employees perform investment advisory functions from this office location?
4
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1838 SIR TYLER DRIVE, SUITE 102
City: State: Country: ZIP+4/Postal Code:
WILMINGTON North Carolina United States 28405
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
910-233-4522
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
820958
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
4 CARTER GREET SUITE 100
City: State: Country: ZIP+4/Postal Code:
CARMEL Indiana United States 46032
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(463) 426-4661
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
771993
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
10500 NE 8TH STREET, SUITE 875
City: State: Country: ZIP+4/Postal Code:
BELLEVUE Washington United States 98004
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
425-400-8511
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
788917
How many employees perform investment advisory functions from this office location?
4
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
16220 NORTH SCOTTSDALE ROAD
City: State: Country: ZIP+4/Postal Code:
SCOTTSDALE Arizona United States 85254
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(480) 923-9361
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
744122
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
314-887-6330
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
853028
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
3060 PEACHTREE ROAD, NW SUITE 110 & 200
City: State: Country: ZIP+4/Postal Code:
ATLANTA Georgia United States 30305
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
404-443-2700
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
703004
How many employees perform investment advisory functions from this office location?
95
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
187 WOLF ROAD SUITE 300
City: State: Country: ZIP+4/Postal Code:
ALBANY New York United States 12205
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
518-934-9163
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
873294
How many employees perform investment advisory functions from this office location?
2
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
260 E BROWN STREET SUITE 300
City: State: Country: ZIP+4/Postal Code:
BIRMINGHAM Michigan United States 48009
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(248) 833-6675
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
880451
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
320 SEVEN SPRINGS WAY SUITE 15
City: State: Country: ZIP+4/Postal Code:
BRENTWOOD Tennessee United States 37027
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(615) 637-2090
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
775099
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
212-549-5371
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
879513
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SUPERVISION
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
180 PARK AVE SUITE 203
City: State: Country: ZIP+4/Postal Code:
FLORHAM PARK New Jersey United States 07932
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
551-758-7083
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
865566
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
515 E LAS OLAS BLVD SUITE 1650
City: State: Country: ZIP+4/Postal Code:
FORT LAUDERDALE Florida United States 33301
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
954-869-3081
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
871311
How many employees perform investment advisory functions from this office location?
12
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
225 ASYLUM ST. SUITE 2830
City: State: Country: ZIP+4/Postal Code:
HARTFORD Connecticut United States 06103
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
959-259-0611
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
836256
How many employees perform investment advisory functions from this office location?
3
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
45 ROCKEFELLER PLAZA 5TH FLOOR
City: State: Country: ZIP+4/Postal Code:
NEW YORK New York United States 10111
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
212-549-5152
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
858503
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
400 STONY BROOK COURT SUITE 1
City: State: Country: ZIP+4/Postal Code:
NEWBURGH New York United States 12550
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(518) 934-9169
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
878162
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
500 LINDEN OAKS, SUITE 110
City: State: Country: ZIP+4/Postal Code:
ROCHESTER New York United States 14625
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
585-759-0070
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
869134
How many employees perform investment advisory functions from this office location?
2
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
3721 VALLEY CENTRE DRIVE
City: State: Country: ZIP+4/Postal Code:
SAN DIEGO California United States 92130
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
858-727-5120
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
873599
How many employees perform investment advisory functions from this office location?
2
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
973-291-0463
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
865891
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
135 N. OLD WOODWARD, SUITE 200
City: State: Country: ZIP+4/Postal Code:
BIRMINGHAM Michigan United States 48009
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
248-885-0951
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
776078
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
959-259-0610
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
859834
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
360-634-8331
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
854161
How many employees perform investment advisory functions from this office location?
1
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1600 WEST LOOP SOUTH, SUITE 700
City: State: Country: ZIP+4/Postal Code:
HOUSTON Texas United States 77027
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
713-804-6412
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
750507
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not
limited to, Twitter, Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available
social media platform.
Address of Website/Account on Publicly Available Social Media Platform: https://m.facebook.com/rockefellercapitalmanagement/
Address of Website/Account on Publicly Available Social Media Platform: https://mobile.twitter.com/RockCapMgmt
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/rockefeller-capital-management/
Address of Website/Account on Publicly Available Social Media Platform: https://instagram.com/rockefellercapitalmanagement?utm_medium=copy_link
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ROCKCO.COM/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bergman-wealth-management-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/cowles-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/leach-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/jones-connolly-pollock-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/capital-crest-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/preston-swedlund-turbitt-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ritz-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/neil-moore-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/holcomb-frey-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/dahlander-wolf-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/marchetti-porter-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/unger-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/liberty-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/boston/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/siliconvalley/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/durrani-wang-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/saratogasprings/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/horton-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/zwmg/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/amsler-laborde-bowman-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/mendoza-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/selcow-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/lien-degrace-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pierattini-golden-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/gorin-ressel-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/giorgetti-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hayes-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/mealey-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/nicholson-palomeque-kitchin-dagostino-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/zapoleon-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/faro-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pontis-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/duane-tabor-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/dbt-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/richeda-farr-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/strategic-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/martin-daniels-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/montgomery-levin-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hambleton-fieler-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/adapt-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/john-low-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/titan-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/lahoud-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/church-verhulst-walsh-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/jacobs-dwyer-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/tramontano-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/atlantic-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/monarch-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ucci-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hartford-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ruben-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/scarbrough-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/landmark-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/farnsworth-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/paget-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/young-associates/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bostwick-walters-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/moore-langhorst-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/claghorn-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hassan-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/theugroup/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/shelley-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/mooney-stanley-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/risher-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/kennedy-senkbeil-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/maxwell-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/alexander-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/rsa-family-wealth/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/marti-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/wallace-maentz-machlovitch-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/vios-advisors/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/siden-fink-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/crowley-shemeld-jewayni-green-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/k-d-wealth-strategies/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ryan-epperson-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bruce-dickey-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/merlin-wealth-management/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/mcdavid-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/rosenberg-outcalt-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pennington-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/harvey-seese-wealth-advisory/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hermanson-embleton-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/jeter-reich-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/sargent/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/mason-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/colwyn-mendelson-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/southeastern-wealth-management-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/fink-mcmahon-chu-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/lusink-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/moldaver-lee-cohen-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/linker-hodges-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/legacy-family-wealth/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/scruggs-wright-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/sheehan-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/cardwell-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/henderson-janus-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bloom-williams-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/quackenbush-panetti-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/decision-point-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ladage-smith-garcia-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/cassidy-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/oryx-legacy-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/holmes-robinson-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/willis-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/shaffer-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/harvan-mckenzie-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bridgeline-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/moon-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/axiom-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/1657-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/lewis-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/variant-path-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/tate-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/white-kramer-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/acadia-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pollock-salah-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/landau-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/wahlberg-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/devine-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/227-rgfo/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/oglevee-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/tally-mcmanus-maldonado-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ta-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/titus-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/partners-wealth-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/dimedio-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/luechtefeld-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ginger-private-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bergin-dyer/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/gsr-capital-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pollard-bryan-carl/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/venetos-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/heritage-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/blue-lake-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/broderick-mingelgreen-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/meyer-demartini-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/epperson-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/rhodes-white-bazan/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/chase-newman-riordan-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ladner-franz-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/rathi-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/singh-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/myers-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/zhang-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/nacca-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/lynch-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/suskind-ripple-halliwell-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/pke-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/entrepreneurs-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/horowitz-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/moore-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/langhorst-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/rosenblum-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/klody-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/picklo-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/vu-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/saltzman-apgar-swenson-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/hon-capital-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/ulrich-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/fiacco-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/t3-img/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/forensic-investment-group/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/aughenbaugh-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/florina-shutin-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/e-e-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/tidal-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/kelly-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/bruegman-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.rockco.com/dadlani-wealth-partners/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/channel/UCbbJmcLqOxc9rNZ1MkDuU7w
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/rockefellercapitalmanagement/
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You
must complete a separate Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
300 FIRST STAMFORD PLACE SUITE 230
City: State: Country: ZIP+4/Postal Code:
STAMFORD Connecticut United States 06902
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(203) 413-8772
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
320 1ST STREET NORTH, UNIT 703
City: State: Country: ZIP+4/Postal Code:
JACKSONVILLE BEACH Florida United States 32250
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
404-410-8856
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
115 W. CENTURY ROAD SUITE 315
City: State: Country: ZIP+4/Postal Code:
PARAMUS New Jersey United States 07652
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
2018799164
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
NICE ACTIMIZE
Number and Street 1: Number and Street 2:
221 RIVER ST., 10TH FLOOR
City: State: Country: ZIP+4/Postal Code:
HOBOKEN New Jersey United States 07030
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
551-256-5000
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN BOOKS AND RECORDS ARE MAINTAINED ON BEHALF OF THE APPLICANT.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
2000 AVENUE OF THE STARS SUITE 530N
City: State: Country: ZIP+4/Postal Code:
LOS ANGELES California United States 90067
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
424-600-7950
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES, CORRESPONDENCE AND SUPERVISORY AND OPERATIONAL REVIEWS OF FIRM ACTIVITIES
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1395 YARDVILLE HAMILTON SQUARE ROAD SUITE 1B
City: State: Country: ZIP+4/Postal Code:
HAMILTON New Jersey United States 08690
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(609) 606-1600
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES, OPERATIONAL FINANCIAL & SUPERVISORY REPORTS OF THE FIRM
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
525 WASHINGTON BOULEVARD SUITE 1410
City: State: Country: ZIP+4/Postal Code:
JERSEY CITY New Jersey United States 08750
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
212-549-5172
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
REGED
Number and Street 1: Number and Street 2:
2100 GATEWAY CENTRE BLVD SUITE 200
City: State: Country: ZIP+4/Postal Code:
MORRISVILLE North Carolina United States 27560
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
800-334-8322
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN BOOKS AND RECORDS ARE MAINTAINED HERE, INCLUDING THE FIRM ELEMENT TRAINING FILES
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
750 UNIVERSITY AVE SUITE 240
City: State: Country: ZIP+4/Postal Code:
LOS GATOS California United States 95032
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
669-499-4451
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
328 W MAIN STREET
City: State: Country: ZIP+4/Postal Code:
KENEDY Texas United States 78119
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(210)890-3592
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1838 SIR TYLER DRIVE, SUITE 102
City: State: Country: ZIP+4/Postal Code:
WILMINGTON North Carolina United States 28405
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
910-233-4522
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
711 S CAPITOL WAY SUITE 705
City: State: Country: ZIP+4/Postal Code:
OLYMPIA Washington United States 98501
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(360) 634-8330
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
12012 SOUTH SHORE BLVD. SUITE 112
City: State: Country: ZIP+4/Postal Code:
WELLINGTON Florida United States 33414
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
561-363-5861
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
3060 PEACHTREE ROAD, NW SUITE 110 & 200
City: State: Country: ZIP+4/Postal Code:
ATLANTA Georgia United States 30305
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(404) 443-2700
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT CORRESPONDENCE, CLIENT FILES AND SUPERVISORY REVIEWS
Name of entity where books and records are kept:
MICROSOFT CORPORATION
Number and Street 1: Number and Street 2:
ONE MICROSOFT WAY
City: State: Country: ZIP+4/Postal Code:
REDMOND Washington United States 98052
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(425) 882-8080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
THE THIRD PARTY ENTITY HOLDS CERTAIN BOOKS AND RECORDS OF THE FIRM.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
TWO EMBARCADERO CENTER SUITE 2320
City: State: Country: ZIP+4/Postal Code:
SAN FRANCISCO California United States 94111
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
415-830-5790
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES, CORRESPONDENCE AND SUPERVISORY AND OPERATIONAL REVIEWS OF FIRM ACTIVITIES
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
314-887-6330
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
972-761-5071
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
NATIONAL FINANCIAL SERVICES LLC
Number and Street 1: Number and Street 2:
155 SEAPORT BOULEVARD, MAIL ZONE ZW9A
City: State: Country: ZIP+4/Postal Code:
BOSTON Massachusetts United States 02210
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
617-563-7000
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN BOOKS AND RECORDS OF APPLICANT ARE MAINTAINED BY ITS CLEARING FIRM ON BEHALF OF APPLICANT
Name of entity where books and records are kept:
SMARSH, INC.
Number and Street 1: Number and Street 2:
851 SW 6TH AVE SUITE 800
City: State: Country: ZIP+4/Postal Code:
PORTLAND Oregon United States 97204
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
503-946-5980
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN BOOKS AND RECORDS OF APPLICANT ARE MAINTAINED BY SMARSH ON BEHALF OF APPLICANT
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
669-499-4420
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
300 CRESCENT COURT SUITE 1450
City: State: Country: ZIP+4/Postal Code:
DALLAS Texas United States 75201
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
214-572-8459
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES, CORRESPONDENCE AND SUPERVISORY AND OPERATIONAL REVIEWS OF FIRM ACTIVITIES
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
227 WEST MONROE SUITE 2450
City: State: Country: ZIP+4/Postal Code:
CHICAGO Illinois United States 60606
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
9727615209
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES, CORRESPONDENCE AND SUPERVISORY AND OPERATIONAL REVIEWS OF FIRM ACTIVITIES
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
28601 CHAGRIN BLVD SUITE 525
City: State: Country: ZIP+4/Postal Code:
WOODMERE Ohio United States 44122
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
216-770-6380
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
2445 KUSER ROAD, SUITE 302
City: State: Country: ZIP+4/Postal Code:
HAMILTON New Jersey United States 08690
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
609-606-1711
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
45 OTTAWA AVE SW, SUITE 700
City: State: Country: ZIP+4/Postal Code:
GRAND RAPIDS Michigan United States 49503
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(616) 305-2994
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
10 HOSPITAL CENTER COMMONS SUITE 400
City: State: Country: ZIP+4/Postal Code:
HILTON HEAD ISLAND South Carolina United States 29926
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
470-903-6880
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1031 RIDGE DRIVE
City: State: Country: ZIP+4/Postal Code:
LINVILLE North Carolina United States 28646
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
561-617-8830
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
437 MADISON AVENUE - SUITE 2701
City: State: Country: ZIP+4/Postal Code:
NY New York United States 10022
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
212-549-5169
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
4 CAUFIELD PLACE SUITE 101
City: State: Country: ZIP+4/Postal Code:
NEWTOWN Pennsylvania United States 18940
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(267) 840-903
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
200 S 10TH STREET, SUITE 950
City: State: Country: ZIP+4/Postal Code:
RICHMOND Virginia United States 23219
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
804-653-4703
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
609 SW 8TH STREET, 6TH FLOOR
City: State: Country: ZIP+4/Postal Code:
BENTONVILLE Arkansas United States 72712
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
479-429-3501
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
713-832-8920
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
5605 CARNEGIE BLVD., SUITE 220
City: State: Country: ZIP+4/Postal Code:
CHARLOTTE North Carolina United States 28209
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
980-392-2347
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
972-761-5041
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
713-804-6431
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
ONE TOWER BRIDGE 100 FRONT STREET, SUITE 1325
City: State: Country: ZIP+4/Postal Code:
CONSHOHOCKEN Pennsylvania United States 19428
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Telephone Number: Facsimile number, if any:
610-834-9820
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
2603 EAST PARLEYS WAY
City: State: Country: ZIP+4/Postal Code:
SALT LAKE CITY Utah United States 84109
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Telephone Number: Facsimile number, if any:
8017369950
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CLIENT FILES AND CORRESPONDENCE.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1850 MT DIABLO BOULEVARD SUITE 300
City: State: Country: ZIP+4/Postal Code:
WALNUT CREEK California United States 94956
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Telephone Number: Facsimile number, if any:
9259516300
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
10500 NE 8TH STREET SUITE 875
City: State: Country: ZIP+4/Postal Code:
BELLEVUE Washington United States 98004
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Telephone Number: Facsimile number, if any:
425-400-8511
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
16220 NORTH SCOTTSDALE ROAD
City: State: Country: ZIP+4/Postal Code:
SCOTTSDALE Arizona United States 85254
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Telephone Number: Facsimile number, if any:
4809239361
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CLIENT FILES AND CORRESPONDENCE.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
2 BETHESDA METRO CENTER SUITE 800
City: State: Country: ZIP+4/Postal Code:
BETHESDA Maryland United States 20814
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Telephone Number: Facsimile number, if any:
(240) 956-4460
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
9950 WOODLOCH FOREST TOWER,4TH FLOOR
City: State: Country: ZIP+4/Postal Code:
THE WOODLANDS Texas United States 77380
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Telephone Number: Facsimile number, if any:
713-832-8920
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
500 BOYLSTON STREET SUITE 1300
City: State: Country: ZIP+4/Postal Code:
BOSTON Massachusetts United States 02116
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Telephone Number: Facsimile number, if any:
(857) 504-8691
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
4 CARTER GREEN SUITE 100
City: State: Country: ZIP+4/Postal Code:
CARMEL Indiana United States 46032
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Telephone Number: Facsimile number, if any:
(463) 426-4660
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
16090 SWINGLEY RIDGE ROAD SUITE 400
City: State: Country: ZIP+4/Postal Code:
CHESTERFIELD Missouri United States 63017
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Telephone Number: Facsimile number, if any:
(314) 887-6331
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
3835 PGA BOULEVARD SUITE 401
City: State: Country: ZIP+4/Postal Code:
PALM BEACH GARDENS Florida United States 33410
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Telephone Number: Facsimile number, if any:
(561) 363-5830
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
100 FILLMORE STREET SUITE 600
City: State: Country: ZIP+4/Postal Code:
DENVER Colorado United States 80206
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Telephone Number: Facsimile number, if any:
(720) 792-0161
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
271 WEST CANTON AVE., SUITE 100
City: State: Country: ZIP+4/Postal Code:
WINTER PARK Florida United States 32789
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Telephone Number: Facsimile number, if any:
689-345-9410
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
8 SOUND SHORE DRIVE
City: State: Country: ZIP+4/Postal Code:
GREENWICH Connecticut United States 06830
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Telephone Number: Facsimile number, if any:
(203) 717-6731
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1812 N MOORE ST, SUITE 1700
City: State: Country: ZIP+4/Postal Code:
ARLINGTON Virginia United States 22209
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Telephone Number: Facsimile number, if any:
240-956--4457
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
200 W 6TH STREET SUITE 2600
City: State: Country: ZIP+4/Postal Code:
AUSTIN Texas United States 78701
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Telephone Number: Facsimile number, if any:
512-615-1832
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
30 S. KING STREET, SUITE 2C
City: State: Country: ZIP+4/Postal Code:
JACKSON Wyoming United States 83001
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Telephone Number: Facsimile number, if any:
415-830-5773
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
701 HARGER ROAD, SUITE 210
City: State: Country: ZIP+4/Postal Code:
OAK BROOK Illinois United States 60523
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Telephone Number: Facsimile number, if any:
630-575-2315
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
3825 EDWARDS ROAD SUITE 630
City: State: Country: ZIP+4/Postal Code:
CINCINNATI Ohio United States 45209
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Telephone Number: Facsimile number, if any:
(212) 549-5452
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
321 BROADWAY
City: State: Country: ZIP+4/Postal Code:
SARATOGA SPRINGS New York United States 12866
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
518-886-3450
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CLIENT FILES AND CORRESPONDENCE.
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
272 W GOSHEN AVE
City: State: Country: ZIP+4/Postal Code:
CLOVIS California United States 93611
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
212-549-5371
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
800 NEWPORT CENTER DRIVE SUITE 650
City: State: Country: ZIP+4/Postal Code:
NEWPORT BEACH California United States 92660
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Telephone Number: Facsimile number, if any:
424-600-7943
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
3721 VALLEY CENTRE DRIVE
City: State: Country: ZIP+4/Postal Code:
SAN DIEGO California United States 92130
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
858-727-5120
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
187 WOLF ROAD SUITE 300
City: State: Country: ZIP+4/Postal Code:
ALBANY New York United States 12205
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
518-934-9163
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
400 STONY BROOK COURT SUITE 1
City: State: Country: ZIP+4/Postal Code:
NEWBURGH New York United States 12550
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
518-934-9169
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
500 LINDEN OAKS, SUITE 110
City: State: Country: ZIP+4/Postal Code:
ROCHESTER New York United States 14625
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
585-759-0070
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
320 SEVEN SPRINGS WAY SUITE 15
City: State: Country: ZIP+4/Postal Code:
BRENTWOOD Tennessee United States 37027
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Telephone Number: Facsimile number, if any:
(615) 637-2090
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
135 N. OLD WOODWARD SUITE 200
City: State: Country: ZIP+4/Postal Code:
BIRMINGHAM Michigan United States 48009
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Telephone Number: Facsimile number, if any:
248-885-0951
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
69-1033 NAWAHINE PLACE
City: State: Country: ZIP+4/Postal Code:
WAIKOLOA BEACH Hawaii United States 96737
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Telephone Number: Facsimile number, if any:
360-634-8331
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL
Number and Street 1: Number and Street 2:
260 E BROWN STREET SUITE 300
City: State: Country: ZIP+4/Postal Code:
BIRMINGHAM Michigan United States 48009
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
248-833-6675
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
5355 TOWN CENTER RD FLOOR 6
City: State: Country: ZIP+4/Postal Code:
BOCA RATON Florida United States 33486
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Telephone Number: Facsimile number, if any:
5616178813
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
225 ASYLUM ST SUIATE 2830
City: State: Country: ZIP+4/Postal Code:
HARTFORD Connecticut United States 06130
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
959-25-0611
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1600 WEST LOOP SOUTH SUITE 700
City: State: Country: ZIP+4/Postal Code:
HOUSTON Texas United States 77027
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
713-804-6412
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
1900 BROADWAY STREET SUITE 660
City: State: Country: ZIP+4/Postal Code:
SAN ANTONIO Texas United States 78215
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
210-890-3592
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
121 LAUREL OAK LANE
City: State: Country: ZIP+4/Postal Code:
VERO BEACH Florida United States 32963
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
973-291-0463
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CLIENT FACING AND CORRESSPONDCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
180 PARK AVE SUITE 203
City: State: Country: ZIP+4/Postal Code:
FLORHAM PARK New Jersey United States 07932
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
551-758-7083
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
515 E LAS OLAS BLVD SUITE 1650
City: State: Country: ZIP+4/Postal Code:
FORT LAUDERDALE Florida United States 33301
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Telephone Number: Facsimile number, if any:
954-869-3081
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
2000 AUREUM DRIVE
City: State: Country: ZIP+4/Postal Code:
FRANKLIN Tennessee United States 37067
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
959-259-0610
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
5 ROCKEFELLER PLAZA 5TH FLOOR
City: State: Country: ZIP+4/Postal Code:
NEW YORK New York United States 10111
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
212-549-5152
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CLIENT FILES AND CORRESPONDENCE
Name of entity where books and records are kept:
ROCKEFELLER FINANCIAL LLC
Number and Street 1: Number and Street 2:
MAX AT KIERLAND 16220 NORTH SCOTTSDALE ROAD
City: State: Country: ZIP+4/Postal Code:
SCOTTSDALE Arizona United States 85254
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
646-777-4947
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CLIENT FILES AND CORRESPONDENCE
SECTION 1.M. Registration with Foreign Financial Regulatory Authorities
No Information Filed
Item 2 SEC Registration/Reporting
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for
SEC registration or submitting an annual updating amendment to your SEC registration. If you are filing an umbrella registration, the information in Item 2
should be provided for the filing adviser only.
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an
annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1A Instruction 2
provides information to help you determine whether you may affirmatively respond to each of these items.
You (the adviser):
(1) are a large advisory firm that either:
(a) has regulatory assets under management of $100 million (in U.S. dollars) or more; or
(b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating
amendment and is registered with the SEC;
(2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million
(in U.S. dollars) and you are either:
(a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place
of business; or
(b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business;
Click HERE for a list of states in which an investment adviser, if registered, would not be subject to examination by the state securities
authority.
(3) Reserved
(4) have your principal office and place of business outside the United States;
(5) are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940;
(6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the
Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under
management;
(7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption
in rule 203A-2(a);
(8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is
registered with the SEC, and your principal office and place of business is the same as the registered adviser;
If you check this box, complete Section 2.A.(8) of Schedule D.
(9) are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days;
If you check this box, complete Section 2.A.(9) of Schedule D.
(10) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d);
If you check this box, complete Section 2.A.(10) of Schedule D.
(11) are an Internet adviser relying on rule 203A-2(e);
If you check this box, complete Section 2.A.(11) of Schedule D.
(12) have received an SEC order exempting you from the prohibition against registration with the SEC;
If you check this box, complete Section 2.A.(12) of Schedule D.
(13) are no longer eligible to remain registered with the SEC.
State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers
C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they
file with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy
of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would
like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to
additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit
to the SEC. If this is an amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them, uncheck
the box(es) next to those state(s).
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR
ID MT RI
If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that
state's notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31).
SECTION 2.A.(8) Related Adviser
If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control
with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser, provide
the following information:
Name of Registered Investment Adviser
CRD Number of Registered Investment Adviser
SEC Number of Registered Investment Adviser
-
SECTION 2.A.(9) Investment Adviser Expecting to be Eligible for Commission Registration within 120 Days
If you are relying on rule 203A-2(c), the exemption from the prohibition on registration available to an adviser that expects to be eligible for SEC registration
within 120 days, you are required to make certain representations about your eligibility for SEC registration. By checking the appropriate boxes, you will b e
deemed to have made the required representations. You must make both of these representations:
I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to
register with the SEC within 120 days after the date my registration with the SEC becomes effective.
I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section
203A(a) of the Advisers Act from registering with the SEC.
SECTION 2.A.(10) Multi-State Adviser
If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations
about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations.
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations:
I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an
investment adviser with the state securities authorities in those states.
I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15
states to register as an investment adviser with the state securities authorities of those states.
If you are submitting your annual updating amendment, you must make this representation:
Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required
by the laws of at least 15 states to register as an investment adviser with the state securities authorities in those states.
SECTION 2.A.(11) Internet Adviser
If you are relying on rule 203A-2(e), the Internet adviser exemption from the prohibition on registration, you are required to make a representation about
your eligibility for SEC registration. By checking the appropriate box, you will be deemed to have made the required representation.
If you are applying for registration as an investment adviser with the SEC or changing your existing Item 2 response regarding your eligibility for SEC
registration, you must make this representation:
I will provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive website.
If you are filing an annual updating amendment to your existing registration and are continuing to rely on the Internet adviser exemption for SEC
registration, you must make this representation:
I have provided and will continue to provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive
website.
SECTION 2.A.(12) SEC Exemptive Order
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
Application Number:
803-
Date of order:
Item 3 Form of Organization
If you are filing an umbrella registration, the information in Item 3 should be provided for the filing adviser only.
A. How are you organized?
Corporation
Sole Proprietorship
Limited Liability Partnership (LLP)
Partnership
Limited Liability Company (LLC)
Limited Partnership (LP)
Other (specify):
If you are changing your response to this Item, see Part 1A Instruction 4.
B. In what month does your fiscal year end each year?
DECEMBER
C. Under the laws of what state or country are you organized?
State Country
Delaware United States
If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the
name of the state or country where you reside.
If you are changing your response to this Item, see Part 1A Instruction 4.
Item 4 Successions
Yes No
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser, including, for example, a change of your
structure or legal status (e.g., form of organization or state of incorporation)?
If "yes", complete Item 4.B. and Section 4 of Schedule D.
B. Date of Succession: (MM/DD/YYYY)
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part 1A Instruction 4.
SECTION 4 Successions
No Information Filed
Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making
regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5.
Employees
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an employee
performs more than one function, you should count that employee in each of your responses to Items 5.B.(1), (2), (3), (4), and (5).
A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
1005
B. (1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
815
(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
878
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives?
815
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives for an investment adviser other than you?
336
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?
460
(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
15
In your response to Item 5.B.(6), do not count any of your employees and count a firm only once – do not count each of the firm's employees that solicit on
your behalf.
Clients
In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
with those investors.
C. (1) To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services
during your most recently completed fiscal year?
223
(2) Approximately what percentage of your clients are non-United States persons?
0%
D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does
not include businesses organized as sole proprietorships.
The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of
1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company
Act of 1940, do not answer (1)(d) or (3)(d) below.
Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below)
attributable to each of the following type of client. If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check
Item 5.D.(2) rather than respond to Item 5.D.(1).
The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under
management reported in Item 5.F.(2)(c) below.
If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If
you advise a registered investment company, business development company, or pooled investment vehicle, report those assets in categories (d), (e),
and (f) as applicable.
(1) Number of (2) Fewer than (3) Amount of Regulatory Assets
Type of Client Client(s) 5 Clients under Management
(a) Individuals (other than high net worth individuals) 32546 $ 12,778,846,116
(b) High net worth individuals 15255 $ 69,361,500,432
(c) Banking or thrift institutions 0 $0
(d) Investment companies 0 $0
(e) Business development companies 0 $0
(f) Pooled investment vehicles (other than investment companies and $0
business development companies)
(g) Pension and profit sharing plans (but not the plan participants or 911 $ 4,406,919,881
government pension plans)
(h) Charitable organizations 275 $ 2,400,679,449
(i) State or municipal government entities (including government pension 7 $ 275,220,981
plans)
(j) Other investment advisers 0 $0
(k) Insurance companies 3 $ 470,759,344
(l) Sovereign wealth funds and foreign official institutions 0 $0
(m) Corporations or other businesses not listed above 1295 $ 9,909,561,029
(n) Other: 0 $0
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
(1) A percentage of assets under your management
(2) Hourly charges
(3) Subscription fees (for a newsletter or periodical)
(4) Fixed fees (other than subscription fees)
(5) Commissions
(6) Performance-based fees
(7) Other (specify):
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
Yes No
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $ 93,524,438,153 (d) 92,609
Non-Discretionary: (b) $ 6,079,049,079 (e) 2,759
Total: (c) $ 99,603,487,232 (f) 95,368
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when
completing this Item.
(3) What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who
are non-United States persons?
$ 317,906,429
Item 5 Information About Your Advisory Business - Advisory Activities
Advisory Activities
G. What type(s) of advisory services do you provide? Check all that apply.
(1) Financial planning services
(2) Portfolio management for individuals and/or small businesses
(3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to
section 54 of the Investment Company Act of 1940)
(4) Portfolio management for pooled investment vehicles (other than investment companies)
(5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and
other pooled investment vehicles)
(6) Pension consulting services
(7) Selection of other advisers (including private fund managers)
(8) Publication of periodicals or newsletters
(9) Security ratings or pricing services
(10) Market timing services
(11) Educational seminars/workshops
(12) Other(specify):
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the
Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or
investment companies to which you provide advice in Section 5.G.(3) of Schedule D.
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
0
1 - 10
11 - 25
26 - 50
51 - 100
101 - 250
251 - 500
More than 500
If more than 500, how many?
(round to the nearest 500)
In your responses to this Item 5.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
with those investors.
Yes No
I. (1) Do you participate in a wrap fee program?
(2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:
(a) sponsor to a wrap fee program
$0
(b) portfolio manager for a wrap fee program?
$0
(c) sponsor to and portfolio manager for the same wrap fee program?
$ 95,999,807,353
If you report an amount in Item 5.I.(2)(c), do not report that amount in Item 5.I.(2)(a) or Item 5.I.(2)(b).
If you are a portfolio manager for a wrap fee program, list the names of the programs, their sponsors and related information in Section 5.I.(2) of Schedule D.
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a
wrap fee program, do not check Item 5.I.(1) or enter any amounts in response to Item 5.I.(2).
Yes No
J. (1) In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of
investments?
(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your
regulatory assets under management?
K. Separately Managed Account Clients
Yes No
(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately
managed account clients)?
If yes, complete Section 5.K.(1) of Schedule D.
(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold
ten percent or more of this remaining amount of regulatory assets under management?
If yes, complete Section 5.K.(3) of Schedule D for each custodian.
L. Marketing Activities
Yes No
(1) Do any of your advertisements include:
(a) Performance results?
(b) A reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5))?
(c) Testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(d) Endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(e) Third-party ratings?
(2) If you answer "yes" to L(1)(c), (d), or (e) above, do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in
connection with the use of testimonials, endorsements, or third-party ratings?
(3) Do any of your advertisements include hypothetical performance ?
(4) Do any of your advertisements include predecessor performance ?
SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies
No Information Filed
SECTION 5.I.(2) Wrap Fee Programs
If you are a portfolio manager for one or more wrap fee programs, list the name of each program and its sponsor. You must complete a separate Schedule D
Section 5.I.(2) for each wrap fee program for which you are a portfolio manager.
Name of Wrap Fee Program
ROCKEFELLER PRIVATE WEALTH ADVISER PLATFORM WRAP FEE
Name of Sponsor
ROCKEFELLER CAPITAL MANAGEMENT
Sponsor's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-):
801 - 114033
Sponsor's CRD Number (if any):
291361
SECTION 5.K.(1) Separately Managed Accounts
After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of
this remaining amount attributable to each of the following categories of assets. If the remaining amount is at least $10 billion in regulatory assets under
management, complete Question (a). If the remaining amount is less than $10 billion in regulatory assets under management, complete Question (b).
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
If you are a subadviser to a separately managed account, you should only provide information with respect to the portion of the account that you subadvise.
End of year refers to the date used to calculate your regulatory assets under management for purposes of your annual updating amendment . Mid-year is the
date six months before the end of year date. Each column should add up to 100% and numbers should be rounded to the nearest percent.
Investments in derivatives, registered investment companies, business development companies, and pooled investment vehicles should be reported in
those categories. Do not report those investments based on related or underlying portfolio assets. Cash equivalents include bank deposits, certificates of
deposit, bankers' acceptances and similar bank instruments.
Some assets could be classified into more than one category or require discretion about which category applies. You may use your own internal
methodologies and the conventions of your service providers in determining how to categorize assets, so long as the methodologies or conventions are
consistently applied and consistent with information you report internally and to current and prospective clients. However, you should not double count
assets, and your responses must be consistent with any instructions or other guidance relating to this Section.
(a) Asset Type Mid-year End of year
(i) Exchange-Traded Equity Securities 43 % 43 %
(ii) Non Exchange-Traded Equity Securities 0% 0%
(iii) U.S. Government/Agency Bonds 3% 3%
(iv) U.S. State and Local Bonds 7% 7%
(v) Sovereign Bonds 0% 0%
(vi) Investment Grade Corporate Bonds 2% 2%
(vii) Non-Investment Grade Corporate Bonds 0% 0%
(viii) Derivatives 1% 1%
(ix) Securities Issued by Registered Investment Companies or Business Development Companies 36 % 36 %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business 4% 4%
Development Companies)
(xi) Cash and Cash Equivalents 4% 4%
(xii) Other 0% 0%
Generally describe any assets included in "Other"
(b) Asset Type End of year
(i) Exchange-Traded Equity Securities %
(ii) Non Exchange-Traded Equity Securities %
(iii) U.S. Government/Agency Bonds %
(iv) U.S. State and Local Bonds %
(v) Sovereign Bonds %
(vi) Investment Grade Corporate Bonds %
(vii) Non-Investment Grade Corporate Bonds %
(viii) Derivatives %
(ix) Securities Issued by Registered Investment Companies or Business Development Companies %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development %
Companies)
(xi) Cash and Cash Equivalents %
(xii) Other %
Generally describe any assets included in "Other"
SECTION 5.K.(2) Separately Managed Accounts - Use of Borrowingsand Derivatives
No information is required to be reported in this Section 5.K.(2) per the instructions of this Section 5.K.(2)
If your regulatory assets under management attributable to separately managed accounts are at least $10 billion, you should complete Question (a). If your
regulatory assets under management attributable to separately managed accounts are at least $500 million but less than $10 billion, you should complete
Question (b).
(a) In the table below, provide the following information regarding the separately managed accounts you advise. If you are a subadviser to a separately
managed account, you should only provide information with respect to the portion of the account that you subadvise. End of year refers to the date
used to calculate your regulatory assets under management for purposes of your annual updating amendment. Mid-year is the date six months before
the end of year date.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross
notional exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the
dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts
included in column 1 with respect to each category of derivatives specified in 3(a) through (f).
You may, but are not required to, complete the table with respect to any separately managed account with regulatory assets under management of
less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
(i) Mid-Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(a) Interest (b) Foreign
Rate Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ 1,422,254,679 $ 7,536,090 % % % 1.5 % % %
10-149% $ 2,826,918,783 $ 86,378,567 % % % 40.13 % % %
150% or more $ 36,501,500 $ 1,124 % % % 299.62 % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
CHART EXCLUDES ACCOUNTS WITH REGULATORY ASSETS UNDER MANAGEMENT LESS THAN $10 MILLION.
(ii) End of Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(a) Interest (b) Foreign
Rate Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ 1,902,673,697 $ 17,232,928 % % % 2.16 % % %
10-149% $ 2,781,376,526 $ 79,456,139 % % % 36.94 % % %
150% or more $ 88,558,476 $ 8,572,474 % % % 175.29 % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
CHART EXCLUDES ACCOUNTS WITH REGULATORY ASSETS UNDER MANAGEMENT LESS THAN $10 MILLION.
(b) In the table below, provide the following information regarding the separately managed accounts you advise as of the date used to calculate your
regulatory assets under management for purposes of your annual updating amendment. If you are a subadviser to a separately managed account, you
should only provide information with respect to the portion of the account that you subadvise.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross
notional exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the
dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
You may, but are not required to, complete the table with respect to any separately managed accounts with regulatory assets under management of
less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
Gross Notional Exposure (1) Regulatory Assets Under Management (2) Borrowings
Less than 10% $ $
10-149% $ $
150% or more $ $
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
SECTION 5.K.(3) Custodians for Separately Managed Accounts
Complete a separate Schedule D Section 5.K.(3) for each custodian that holds ten percent or more of your aggregate separately managed account
regulatory assets under management.
(a) Legal name of custodian:
NATIONAL FINANCIAL SERVICES LLC
(b) Primary business name of custodian:
NATIONAL FINANCIAL SERVICES LLC
(c) The location(s) of the custodian's office(s) responsible for custody of the assets :
City: State: Country:
BOSTON Massachusetts United States
Yes No
(d) Is the custodian a related person of your firm?
(e) If the custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 26740
(f) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if
any)
(g) What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
$ 95,999,807,353
Item 6 Other Business Activities
In this Item, we request information about your firm's other business activities.
A. You are actively engaged in business as a (check all that apply):
(1) broker-dealer (registered or unregistered)
(2) registered representative of a broker-dealer
(3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(4) futures commission merchant
(5) real estate broker, dealer, or agent
(6) insurance broker or agent
(7) bank (including a separately identifiable department or division of a bank)
(8) trust company
(9) registered municipal advisor
(10) registered security-based swap dealer
(11) major security-based swap participant
(12) accountant or accounting firm
(13) lawyer or law firm
(14) other financial product salesperson (specify):
If you engage in other business using a name that is different from the names reported in Items 1.A. or 1.B.(1), complete Section 6.A. of Schedule D.
Yes No
B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?
(2) If yes, is this other business your primary business?
If "yes," describe this other business on Section 6.B.(2) of Schedule D, and if you engage in this business under a different name, provide that name.
Yes No
(3) Do you sell products or provide services other than investment advice to your advisory clients?
If "yes," describe this other business on Section 6.B.(3) of Schedule D, and if you engage in this business under a different name, provide that name.
SECTION 6.A. Names of Your Other Businesses
No Information Filed
SECTION 6.B.(2) Description of Primary Business
Describe your primary business (not your investment advisory business):
If you engage in that business under a different name, provide that name:
SECTION 6.B.(3) Description of Other Products and Services
Describe other products or services you sell to your client. You may omit products and services that you listed in Section 6.B.(2) above.
If you engage in that business under a different name, provide that name:
Item 7 Financial Industry Affiliations
In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may
occur between you and your clients.
A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your
advisory affiliates and any person that is under common control with you.
You have a related person that is a (check all that apply):
(1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered)
(2) other investment adviser (including financial planners)
(3) registered municipal advisor
(4) registered security-based swap dealer
(5) major security-based swap participant
(6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(7) futures commission merchant
(8) banking or thrift institution
(9) trust company
(10) accountant or accounting firm
(11) lawyer or law firm
(12) insurance company or agency
(13) pension consultant
(14) real estate broker or dealer
(15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Note that Item 7.A. should not be used to disclose that some of your employees perform investment advisory functions or are registered representatives of a
broker-dealer. The number of your firm's employees who perform investment advisory functions should be disclosed under Item 5.B.(1). The number of your
firm's employees who are registered representatives of a broker-dealer should be disclosed under Item 5.B.(2).
Note that if you are filing an umbrella registration, you should not check Item 7.A.(2) with respect to your relying advisers, and you do not have to complete
Section 7.A. in Schedule D for your relying advisers. You should complete a Schedule R for each relying adviser.
For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of
Schedule D.
You do not need to complete Section 7.A. of Schedule D for any related person if: (1) you have no business dealings with the related person in connection with
advisory services you provide to your clients; (2) you do not conduct shared operations with the related person; (3) you do not refer clients or business to the
related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised persons or premises with the
related person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients.
You must complete Section 7.A. of Schedule D for each related person acting as qualified custodian in connection with advisory services you provide to your
clients (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)), regardless of whether you have determined the related person to be
operationally independent under rule 206(4)-2 of the Advisers Act.
SECTION 7.A. Financial Industry Affiliations
Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A.
1. Legal Name of Related Person:
SPEARHEAD FALCONS GP LLC
2. Primary Business Name of Related Person:
SPEARHEAD FALCONS GP LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
TITAN PRISMRE GP LLC
2. Primary Business Name of Related Person:
TITAN PRISMRE GP LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
THE ROCKEFELLER TRUST COMPANY (DELAWARE)
2. Primary Business Name of Related Person:
THE ROCKEFELLER TRUST COMPANY (DELAWARE)
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RGEF I LLC
2. Primary Business Name of Related Person:
RGEF I LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
VIKING GLOBAL INVESTORS LP
2. Primary Business Name of Related Person:
VIKING GLOBAL INVESTORS LP
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 72433
or
Other
4. Related Person's
(a) CRD Number (if any):
132272
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
ROCKEFELLER & CO. LLC
2. Primary Business Name of Related Person:
ROCKEFELLER CAPITAL MANAGEMENT
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 113009
or
Other
4. Related Person's
(a) CRD Number (if any):
294197
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
ROCKEFELLER TRUST COMPANY, N.A.
2. Primary Business Name of Related Person:
ROCKEFELLER TRUST COMPANY, N.A.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
ROCKEFELLER CAPITAL MANAGEMENT INSURANCE SERVICES LLC
2. Primary Business Name of Related Person:
ROCKEFELLER CAPITAL MANAGEMENT INSURANCE SERVICES LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RFIF GP I LLC
2. Primary Business Name of Related Person:
RFIF GP I LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
Item 7 Private Fund Reporting
Yes No
B. Are you an adviser to any private fund?
If "yes," then for each private fund that you advise, you must complete a Section 7.B.(1) of Schedule D, except in certain circumstances described in the next
sentence and in Instruction 6 of the Instructions to Part 1A. If you are registered or applying for registration with the SEC or reporting as an SEC exempt
reporting adviser, and another SEC-registered adviser or SEC exempt reporting adviser reports this information with respect to any such private fund in Section
7.B.(1) of Schedule D of its Form ADV (e.g., if you are a subadviser), do not complete Section 7.B.(1) of Schedule D with respect to that private fund. You must,
instead, complete Section 7.B.(2) of Schedule D.
In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical
code, or similar designation, pursuant to rule 204-2(d), you may identify the private fund in Section 7.B.(1) or 7.B.(2) of Schedule D using the same code or
designation in place of the fund's name.
SECTION 7.B.(1) Private Fund Reporting
No Information Filed
SECTION 7.B.(2) Private Fund Reporting
No Information Filed
Item 8 Participation or Interest in Client Transactions
In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional areas in which
conflicts of interest may occur between you and your clients. Newly-formed advisers should base responses to these questions on the types of participation
and interest that you expect to engage in during the next year.
Like Item 7, Item 8 requires you to provide information about you and your related persons, including foreign affiliates.
Proprietary Interest in Client Transactions
A. Do you or any related person: Yes No
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary
(ownership) interest (other than those mentioned in Items 8.A.(1) or (2))?
Sales Interest in Client Transactions
B. Do you or any related person: Yes No
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory
client securities are sold to or bought from the brokerage customer (agency cross transactions)?
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for
which you or any related person serves as underwriter or general or managing partner?
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than
the receipt of sales commissions as a broker or registered representative of a broker-dealer)?
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the: Yes No
(1) securities to be bought or sold for a client's account?
(2) amount of securities to be bought or sold for a client's account?
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons?
E. Do you or any related person recommend brokers or dealers to clients?
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons?
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party
("soft dollar benefits") in connection with client securities transactions?
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under
section 28(e) of the Securities Exchange Act of 1934?
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals?
(2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for
the firm (cash or non-cash compensation in addition to the employee's regular salary)?
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related
person) for client referrals?
In your response to Item 8.I., do not include the regular salary you pay to an employee.
In responding to Items 8.H. and 8.I., consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H.) or received
from (in answering Item 8.I.) any person in exchange for client referrals, including any bonus that is based, at least in part, on the number or amount of client
referrals.
Item 9 Custody
In this Item, we ask you whether you or a related person has custody of client (other than clients that are investment companies registered under the
Investment Company Act of 1940) assets and about your custodial practices.
A. (1) Do you have custody of any advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
If you are registering or registered with the SEC, answer "No" to Item 9.A.(1)(a) and (b) if you have custody solely because (i) you deduct your advisory fees
directly from your clients' accounts, or (ii) a related person has custody of client assets in connection with advisory services you provide to clients, but you have
overcome the presumption that you are not operationally independent (pursuant to Advisers Act rule 206(4)-2(d)(5)) from the related person.
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which
you have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ 94,790,038,882 (b) 49,497
If you are registering or registered with the SEC and you have custody solely because you deduct your advisory fees directly from your clients' accounts, do not
include the amount of those assets and the number of those clients in your response to Item 9.A.(2). If your related person has custody of client assets in
connection with advisory services you provide to clients, do not include the amount of those assets and number of those clients in your response to 9.A.(2).
Instead, include that information in your response to Item 9.B.(2).
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
You are required to answer this item regardless of how you answered Item 9.A.(1)(a) or (b).
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which
your related persons have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ (b)
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following
that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage.
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements
are distributed to the investors in the pools.
(3) An independent public accountant conducts an annual surprise examination of client funds and securities.
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons
are qualified custodians for client funds and securities.
If you checked Item 9.C.(2), C.(3) or C.(4), list in Section 9.C. of Schedule D the accountants that are engaged to perform the audit or examination or prepare
an internal control report. (If you checked Item 9.C.(2), you do not have to list auditor information in Section 9.C. of Schedule D if you already provided this
information with respect to the private funds you advise in Section 7.B.(1) of Schedule D).
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? Yes No
(1) you act as a qualified custodian
(2) your related person(s) act as qualified custodian(s)
If you checked "yes" to Item 9.D.(2), all related persons that act as qualified custodians (other than any mutual fund transfer agent pursuant to rule
206(4)-2(b)(1)) must be identified in Section 7.A. of Schedule D, regardless of whether you have determined the related person to be operationally independent
under rule 206(4)-2 of the Advisers Act.
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last
fiscal year, provide the date (MM/YYYY) the examination commenced:
03/2025
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act
as qualified custodians for your clients in connection with advisory services you provide to clients?
1
SECTION 9.C. Independent Public Accountant
You must complete the following information for each independent public accountant engaged to perform a surprise examination, perform an audit of a
pooled investment vehicle that you manage, or prepare an internal control report. You must complete a separate Schedule D Section 9.C. for each
independent public accountant.
(1) Name of the independent public accountant:
DELOITTE & TOUCHE LLP
(2) The location of the independent public accountant's office responsible for the services provided:
Number and Street 1: Number and Street 2:
30 ROCKEFELLER PLAZA
City: State: Country: ZIP+4/Postal Code:
NEW YORK New York United States 10112-0015
Yes No
(3) Is the independent public accountant registered with the Public Company Accounting Oversight Board?
If "yes," Public Company Accounting Oversight Board-Assigned Number:
34
(4) If "yes" to (3) above, is the independent public accountant subject to regular inspection by the Public Company Accounting Oversight Board in
accordance with its rules?
(5) The independent public accountant is engaged to:
A. audit a pooled investment vehicle
B. perform a surprise examination of clients' assets
C. prepare an internal control report
(6) Since your last annual updating amendment, did all of the reports prepared by the independent public accountant that audited the pooled investment
vehicle or that examined internal controls contain unqualified opinions?
Yes
No
Report Not Yet Received
If you check "Report Not Yet Received", you must promptly file an amendment to your Form ADV to update your response when the accountant's report is
available.
Item 10 Control Persons
In this Item, we ask you to identify every person that, directly or indirectly, controls you. If you are filing an umbrella registration, the information in Item 10
should be provided for the filing adviser only.
If you are submitting an initial application or report, you must complete Schedule A and Schedule B. Schedule A asks for information about your direct owners
and executive officers. Schedule B asks for information about your indirect owners. If this is an amendment and you are updating information you reported
on either Schedule A or Schedule B (or both) that you filed with your initial application or report, you must complete Schedule C.
Yes No
A. Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies?
If yes, complete Section 10.A. of Schedule D.
B. If any person named in Schedules A, B, or C or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities
Exchange Act of 1934, please complete Section 10.B. of Schedule D.
SECTION 10.A. Control Persons
You must complete a separate Schedule D Section 10.A. for each control person not named in Item 1.A. or Schedules A, B, or C that directly or indirectly
controls your management or policies.
Individual Name (if applicable) (Last, First, Middle)
HALVORSEN, OLE, ANDREAS
CRD Number (if any)
2087763
Effective Date Termination Date
03/18/2018
Business Address:
Number and Street 1 Number and Street 2
600 WASHINGTON BOULEVARD, 11TH FLOOR
City State Country ZIP+4/Postal Code
STAMFORD Connecticut United States 06901
If this address is a private residence, check this box:
Briefly describe the nature of the control:
MR. HALVORSEN IS A CONTROLLING PRINCIPAL OF VIKING GLOBAL PARTNERS LLC, THE GENERAL PARTNER OF VIKING GLOBAL INVESTORS LP ("VIKING
GLOBAL"). VIKING GLOBAL INDIRECTLY CONTROLS THE MANAGEMENT OR POLICIES OF ROCKEFELLER CAPITAL MANAGEMENT L.P. ("RCM"), THE ULTIMATE
PARENT COMPANY OF R&CO., THROUGH ITS INDIRECT OWNERSHIP INTERESTS. THESE INTERESTS ARE HELD VIA PRIVATE FUNDS AND OTHER INTERMEDIATE
ENTITIES THAT VIKING GLOBAL CONTROLS. NONE OF THESE ENTITIES INDIVIDUALLY OWNS 25% OR MORE OF RCM.
You must complete a separate Schedule D Section 10.A. for each control person not named in Item 1.A. or Schedules A, B, or C that directly or indirectly
controls your management or policies.
Individual Name (if applicable) (Last, First, Middle)
OTT, DAVID, CHRISTOPHER
CRD Number (if any)
4857588
Effective Date Termination Date
03/01/2018
Business Address:
Number and Street 1 Number and Street 2
600 WASHINGTON BOULEVARD, 11TH FLOOR
City State Country ZIP+4/Postal Code
STAMFORD Connecticut United States 06901
If this address is a private residence, check this box:
Briefly describe the nature of the control:
MR. OTT IS A CONTROLLING PRINCIPAL OF VIKING GLOBAL PARTNERS LLC, THE GENERAL PARTNER OF VIKING GLOBAL INVESTORS LP ("VIKING GLOBAL").
VIKING GLOBAL INDIRECTLY CONTROLS THE MANAGEMENT OR POLICIES OF ROCKEFELLER CAPITAL MANAGEMENT L.P., THE ULTIMATE PARENT COMPANY OF
R&CO., THROUGH ITS INDIRECT OWNERSHIP INTERESTS. THESE INTERESTS ARE HELD VIA PRIVATE FUNDS AND OTHER INTERMEDIATE ENTITIES THAT VIKING
GLOBAL CONTROLS. NONE OF THESE ENTITIES INDIVIDUALLY OWNS 25% OR MORE OF ROCKEFELLER CAPITAL MANAGEMENT L.P.
You must complete a separate Schedule D Section 10.A. for each control person not named in Item 1.A. or Schedules A, B, or C that directly or indirectly
controls your management or policies.
Firm or Organization Name
VIKING GLOBAL INVESTORS LP
CRD Number (if any)
132272
Effective Date Termination Date
10/20/2017
Business Address:
Number and Street 1 Number and Street 2
600 WASHINGTON BOULEVARD, 11TH FLOOR
City State Country ZIP+4/Postal Code
STAMFORD Connecticut United States 06901
If this address is a private residence, check this box:
Briefly describe the nature of the control:
VIKING GLOBAL INVESTORS LP ("VIKING GLOBAL") INDIRECTLY CONTROLS THE MANAGEMENT OR POLICIES OF ROCKEFELLER CAPITAL MANAGEMENT L.P.,
THE ULTIMATE PARENT COMPANY OF R&CO., THROUGH ITS INDIRECT OWNERSHIP INTERESTS. THESE INTERESTS ARE HELD VIA PRIVATE FUNDS AND OTHER
INTERMEDIATE ENTITIES THAT VIKING GLOBAL INVESTORS LP CONTROLS. NONE OF THESE ENTITIES INDIVIDUALLY OWNS 25% OR MORE OF ROCKEFELLER
CAPITAL MANAGEMENT L.P.
You must complete a separate Schedule D Section 10.A. for each control person not named in Item 1.A. or Schedules A, B, or C that directly or indirectly
controls your management or policies.
Firm or Organization Name
VIKING GLOBAL PARTNERS LLC
CRD Number (if any)
Effective Date Termination Date
03/01/2018
Business Address:
Number and Street 1 Number and Street 2
600 WASHINGTON BOULEVARD, 11TH FLOOR
City State Country ZIP+4/Postal Code
STAMFORD Connecticut United States 06901
If this address is a private residence, check this box:
Briefly describe the nature of the control:
VIKING GLOBAL PARTNERS LLC IS THE GENERAL PARTNER OF VIKING GLOBAL INVESTORS LP ("VIKING GLOBAL"). VIKING GLOBAL INDIRECTLY CONTROLS THE
MANAGEMENT OR POLICIES OF ROCKEFELLER CAPITAL MANAGEMENT L.P., THE ULTIMATE PARENT COMPANY OF R&CO., THROUGH ITS INDIRECT OWNERSHIP
INTERESTS. THESE INTERESTS ARE HELD VIA PRIVATE FUNDS AND OTHER INTERMEDIATE ENTITIES THAT VIKING GLOBAL CONTROLS. NONE OF THESE
ENTITIES INDIVIDUALLY OWNS 25% OR MORE OF ROCKEFELLER CAPITAL MANAGEMENT L.P.
SECTION 10.B. Control Person Public Reporting Companies
No Information Filed
Item 11 Disclosure Information
In this Item, we ask for information about your disciplinary history and the disciplinary history of all your advisory affiliates. We use this information to
determine whether to grant your application for registration, to decide whether to revoke your registration or to place limitations on your activities as an
investment adviser, and to identify potential problem areas to focus on during our on-site examinations. One event may result in "yes" answers to more than
one of the questions below. In accordance with General Instruction 5 to Form ADV, "you" and "your" include the filing adviser and all relying advisers under an
umbrella registration.
Your advisory affiliates are: (1) all of your current employees (other than employees performing only clerical, administrative, support or similar functions); (2) all
of your officers, partners, or directors (or any person performing similar functions); and (3) all persons directly or indirectly controlling you or controlled by you.
If you are a "separately identifiable department or division" (SID) of a bank, see the Glossary of Terms to determine who your advisory affiliates are.
If you are registered or registering with the SEC or if you are an exempt reporting adviser, you may limit your disclosure of any event listed in Item 11 to ten years
following the date of the event. If you are registered or registering with a state, you must respond to the questions as posed; you may, therefore, limit your
disclosure to ten years following the date of an event only in responding to Items 11.A.(1), 11.A.(2), 11.B.(1), 11.B.(2), 11.D.(4), and 11.H.(1)(a). For purposes of
calculating this ten-year period, the date of an event is the date the final order, judgment, or decree was entered, or the date any rights of appeal from preliminary
orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item 11.
Yes No
Do any of the events below involve you or any of your supervised persons?
For "yes" answers to the following questions, complete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate: Yes No
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?
(2) been charged with any felony?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.A.(2) to
charges that are currently pending.
B. In the past ten years, have you or any advisory affiliate:
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving:
investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury,
forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with a misdemeanor listed in Item 11.B.(1)?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.B.(2) to
charges that are currently pending.
For "yes" answers to the following questions, complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: Yes No
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
(3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:
(1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?
(2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
(3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business
denied, suspended, revoked, or restricted?
(4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?
(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory
affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?
E. Has any self-regulatory organization or commodities exchange ever:
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule
violation" under a plan approved by the SEC)?
(3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you
or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?
F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or
suspended?
G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C.,
11.D., or 11.E.?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP:
H. (1) Has any domestic or foreign court: Yes No
(a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by
a state or foreign financial regulatory authority?
(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H.(1)?
Item 12 Small Businesses
The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, we need to determine
whether you meet the definition of "small business" or "small organization" under rule 0-7.
Answer this Item 12 only if you are registered or registering with the SEC and you indicated in response to Item 5.F.(2)(c) that you have regulatory assets
under management of less than $25 million. You are not required to answer this Item 12 if you are filing for initial registration as a state adviser, amending a
current state registration, or switching from SEC to state registration.
For purposes of this Item 12 only:
Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of clients. In determining your or another person's total
assets, you may use the total assets shown on a current balance sheet (but use total assets reported on a consolidated balance sheet with
subsidiaries included, if that amount is larger).
Control means the power to direct or cause the direction of the management or policies of a person, whether through ownership of securities, by
contract, or otherwise. Any person that directly or indirectly has the right to vote 25 percent or more of the voting securities, or is entitled to 25 percent
or more of the profits, of another person is presumed to control the other person.
Yes No
A. Did you have total assets of $5 million or more on the last day of your most recent fiscal year?
If "yes," you do not need to answer Items 12.B. and 12.C.
B. Do you:
(1) control another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV)
of $25 million or more on the last day of its most recent fiscal year?
(2) control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal
year?
C. Are you:
(1) controlled by or under common control with another investment adviser that had regulatory assets under management (calculated in
response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal year?
(2) controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on the
last day of its most recent fiscal year?
Schedule A
Direct Owners and Executive Officers
1. Complete Schedule A only if you are submitting an initial application or report. Schedule A asks for information about your direct owners and executive
officers. Use Schedule C to amend this information.
2. Direct Owners and Executive Officers. List below the names of:
(a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer(Chief Compliance Officer is
required if you are registered or applying for registration and cannot be more than one individual), director, and any other individuals with similar
status or functions;
(b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a
public reporting company (a company subject to Section 12 or 15(d) of the Exchange Act);
Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a
class of your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild,
parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing
the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the
security.
(c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or
have contributed, 5% or more of your capital;
(d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has
contributed, 5% or more of your capital, the trust and each trustee; and
(e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5%
or more of your capital, and (ii) if managed by elected managers, all elected managers.
3. Do you have any indirect owners to be reported on Schedule B? Yes No
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner or executive officer is an individual.
5. Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or
member; and for shareholders or members, the class of securities owned (if more than one is issued).
6. Ownership codes are: NA - less than 5% B - 10% but less than 25% D - 50% but less than 75%
A - 5% but less than 10% C - 25% but less than 50% E - 75% or more
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does
not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are
control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last DE/FE/I Title or Status Date Title or Status Ownership Control PR CRD No. If None: S.S. No. and Date of
Name, First Name, Middle Name) Acquired MM/YYYY Code Person Birth, IRS Tax No. or Employer ID No.
RFS OPCO LLC ("OPCO") DE MEMBER 10/2017 E Y N
ALEXANDER, MARK DAVID I PRINCIPAL 05/2022 NA Y N 2202934
OPERATIONS
OFFICER
KOWALSKI, DEIRDRE PATTEN I PRINCIPAL 01/2023 NA N N 1357509
FINANCIAL
OFFICER
MIRZA, RIZWAN MOHAMMAD I CHIEF 07/2024 NA N N 5080469
COMPLIANCE
OFFICER
MORIARTY, EDMOND NICHOLAS I CO-CHIEF 12/2025 NA Y N 1744318
EXECUTIVE
OFFICER
OUTLAW, MICHAEL WAYNE I CO-CHIEF 12/2025 NA Y N 2760690
EXECUTIVE
OFFICER
Schedule B
Indirect Owners
1. Complete Schedule B only if you are submitting an initial application or report. Schedule B asks for information about your indirect owners; you must first
complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information.
2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below:
(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct
the sale of, 25% or more of a class of a voting security of that corporation;
For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent,
grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence;
or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon
dissolution, or have contributed, 25% or more of the partnership's capital;
(c) in the case of an owner that is a trust, the trust and each trustee; and
(d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have
contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers.
3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of
the Exchange Act) is reached, no further ownership information need be given.
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner is an individual.
5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or
members, the class of securities owned (if more than one is issued).
6. Ownership codes are: C - 25% but less than 50% E - 75% or more
D - 50% but less than 75% F - Other (general partner, trustee, or elected manager)
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does
not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are
control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last DE/FE/I Entity in Which Status Date Status Ownership Control PR CRD No. If None: S.S. No. and
Name, First Name, Middle Name) Interest is Owned Acquired Code Person Date of Birth, IRS Tax No. or
MM/YYYY Employer ID No.
ROCKEFELLER CAPITAL MANAGEMENT DE RFS OPCO LLC MEMBER 03/2018 E Y N
L.P. ("RCM")
ROCKEFELLER CAPITAL MANAGEMENT DE ROCKEFELLER GENERAL 10/2017 F Y N
GENERAL PARTNER L.L.C. ("RCMGP") CAPITAL PARTNER
MANAGEMENT L.P.
Schedule D - Miscellaneous
You may use the space below to explain a response to an Item or to provide any other information.
Schedule R
No Information Filed
DRP Pages
CRIMINAL DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an INITIAL AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
OR
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5)
11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5)
11.E(1) 11.E(2) 11.E(3) 11.E(4)
11.F. 11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your
advisory affiliates
One or more of your
advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC Other Federal State Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
FINRA
2. Principal Sanction:
Censure
Other Sanctions:
FINE
3. Date Initiated (MM/DD/YYYY):
08/06/2021 Exact Explanation
If not exact, provide explanation:
4. Docket/Case Number:
2021071489101
5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type:
Debt - Municipal
Other Product Types:
DEBT - CORPORATE DEBT - GOVERNMENT
7. Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON JANUARY 19, 2024, THE FIRM ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT FOR FAILING TO DISCLOSE CERTAIN MARK-UP AND
MARK-DOWN INFORMATION ON RETAIL CUSTOMER CONFIRMATIONS FOR THE TIME PERIOD JUNE 2020 TO AUGUST 2021 FOR MUNICIPAL SECURITIES
TRANSACTIONS AND CORPORATE AND AGENCY DEBT SECURITIES TRANSACTIONS AND FOR FAILING TO ESTABLISH, MAINTAIN, AND ENFORCE A
SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE DISCLOSURE
REQUIREMENTS IN VIOLATION OF MSRB RULE G-27 AND FINRA RULES 3110 AND 2010.
8. Current Status? Pending On Appeal Final
9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
01/19/2024 Exact Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 100,000.00
Revocation/Expulsion/Denial Disgorgement/Restitution
Censure Cease and Desist/Injunction
Bar Suspension
B. Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
THE APPLICANT PAID THE FINE OF $100,000 ON FEBRUARY 1, 2024.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an INITIAL AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
OR
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5)
11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5)
11.E(1) 11.E(2) 11.E(3) 11.E(4)
11.F. 11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your
advisory affiliates
One or more of your
advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD 294197
This advisory affiliate is a Firm an Individual
Number:
Registered:
Yes No
Name: ROCKEFELLER CAPITAL
MANAGEMENT
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC Other Federal State Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
FINANCIAL SERVICES COMMISSION ("FSC") (SOUTH KOREA)
2. Principal Sanction:
Other
Other Sanctions:
ADMINISTRATIVE PENALTY
3. Date Initiated (MM/DD/YYYY):
04/17/2023 Exact Explanation
If not exact, provide explanation:
4. Docket/Case Number:
5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7. Describe the allegations related to this regulatory action (your response must fit within the space provided):
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 THEFINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. TRADE ERROR RESULTED IN
ANINADVERTENT SHORT POSITION AND PROMPTLY COVERED THE NEXT TRADING DAY.
8. Current Status? Pending On Appeal Final
9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
11/03/2023 Exact Explanation
If not exact, provide explanation:
FINE PAID IN NOVEMBER 2023.
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 200,000.00
Revocation/Expulsion/Denial Disgorgement/Restitution
Censure Cease and Desist/Injunction
Bar Suspension
B. Other Sanctions Ordered:
ROCKEFELLER & CO LLC RESOLVED THE MATTER THROUGH THE PAYMENT OF KRW 290,100,000(APPROXIMATELY $200,000).
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
N/A
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
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.
CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
Part 2
Exemption from brochure delivery requirements for SEC-registered advisers
SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a
brochure to all of your advisory clients, you do not have to prepare a brochure.
Yes No
Are you exempt from delivering a brochure to all of your clients under these rules?
If no, complete the ADV Part 2 filing below.
Amend, retire or file new brochures:
Brochure ID Brochure Name Brochure Type(s)
421315 ROCKEFELLER FINANCIAL ADV 2A Individuals, High net worth individuals, Pension
BROCHURE (12.24.25) plans/profit sharing plans, Foundations/charities,
Other institutional
421344 ROCKEFELLER FINANCIAL WRAP FEE Wrap program
BROCHURE (12.24.25)
429512 ROCKEFELLER FINANCIAL ADV 2A Individuals, High net worth individuals, Pension
BROCHURE (03.31.26) plans/profit sharing plans, Foundations/charities,
Other institutional
429513 ROCKEFELLER FINANCIAL WRAP FEE Wrap program
BROCHURE (03.31.26)
Part 3
CRS Type(s) Affiliate Info Retire
Dual
Execution Pages
DOMESTIC INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to
the SEC and all amendments.
Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the Secretary of State or other legally designated officer, of the
state in which you maintain your principal office and place of business and any other state in which you are submitting a notice filing, as your agents to
receive service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand
for arbitration, or other process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state
action, administrative proceeding or arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding, or
arbitration (a) arises out of any activity in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b)
is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939,
the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of the state
in which you maintain your principal office and place of business or of any state in which you are submitting a notice filing.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under
penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other
information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having
custody or possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
RIZWAN MIRZA 03/31/2026
Printed Name: Title:
RIZWAN MIRZA CHIEF COMPLIANCE OFFICER
Adviser CRD Number:
291361
NON-RESIDENT INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to
the SEC and all amendments.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint each of the Secretary of the SEC, and the Secretary of State or
other legally designated officer, of any other state in which you are submitting a notice filing, as your agents to receive service, and agree that such
persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other process or
papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or
arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any
activity in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly,
upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of
1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of any state in which you are submitting a
notice filing.
2. Appointment and Consent: Effect on Partnerships
If you are organized as a partnership, this irrevocable power of attorney and consent to service of process will continue in effect if any partner withdraws
from or is admitted to the partnership, provided that the admission or withdrawal does not create a new partnership. If the partnership dissolves, this
irrevocable power of attorney and consent shall be in effect for any action brought against you or any of your former partners.
3. Non-Resident Investment Adviser Undertaking Regarding Books and Records
By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in
Washington D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission,
correct, current, and complete copies of any or all records that you are required to maintain under Rule 204-2 under the Investment Advisers Act of 1940.
This undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of
attorney or any of your general partners and managing agents.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the non-resident investment adviser. The investment adviser and I both
certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits
and any other information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having
custody or possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
Printed Name: Title:
Adviser CRD Number:
291361