Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
ROCKEFELLER CAPITAL MANAGEMENT ( CRD # 291361/SEC#:801-114033,8-70054 )
ROCKEFELLER CAPITAL MANAGEMENT, ROCKEFELLER GLOBAL FAMILY OFFICE, ROCKEFELLER FINANCIAL LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved9/21/2018
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama10/12/2018
Alaska10/12/2018
Arizona10/12/2018
Arkansas10/12/2018
California10/12/2018
Colorado10/12/2018
Connecticut10/12/2018
Delaware10/12/2018
District of Columbia10/12/2018
Florida10/12/2018
Georgia10/12/2018
Hawaii10/12/2018
Idaho10/12/2018
Illinois10/26/2018
Indiana10/12/2018
Iowa10/12/2018
Kansas10/12/2018
Kentucky10/12/2018
Louisiana10/12/2018
Maine10/12/2018
Maryland10/12/2018
Massachusetts10/12/2018
Michigan10/12/2018
Minnesota10/12/2018
Mississippi10/12/2018
Missouri10/12/2018
Montana10/12/2018
Nebraska10/12/2018
Nevada10/12/2018
New Hampshire10/12/2018
New Jersey10/29/2018
New Mexico10/12/2018
New York9/21/2018
North Carolina10/12/2018
North Dakota10/12/2018
Ohio10/12/2018
Oklahoma10/12/2018
Oregon10/12/2018
Pennsylvania10/12/2018
Puerto Rico10/12/2018
Rhode Island10/12/2018
South Carolina10/12/2018
South Dakota10/12/2018
Tennessee10/12/2018
Texas10/12/2018
Utah10/12/2018
Vermont10/12/2018
Virgin Islands10/12/2018
Virginia10/12/2018
Washington10/12/2018
West Virginia10/12/2018
Wisconsin10/12/2018
Wyoming10/12/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.