Rockefeller Financial LLC (New York)

Name: Rockefeller Financial LLC
Address: 45 Rockefeller Plaza, New York, NY, 10111
Telephone: 212-549-5100

Rockefeller Financial LLC is a large advisory firm based in New York. It manages $562.31 million of regulatory assets for 173 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Rockefeller Financial provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockefeller Financial: assets under management

The assets under management (AUM) of Rockefeller Financial LLC is $562.31 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $562.31 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.25 million each.

Rockefeller Financial has custody of $562.31 million in cash and securities for 75 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 43% of the total AUM. The second-largest asset type is investment and business development companies, which make up 26% of the firm’s portfolio. Investments in state and local bonds form 26% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockefeller Financial LLC for their services and products based on a percentage of assets under management, commissions, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gregory James Fleming serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Gregory James Fleming is high net worth individuals with 40 clients and $393.68 million of assets under management. Among the 10 most similar advisory firms, Rockefeller Financial has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $562.31 million for 75 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rockefeller Financial doesn't advise any private funds.

Careers at Rockefeller Financial LLC

The company employs 45 people that are either part- or full-time employees. No employees work as investment advisers or researchers. 39 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Gregory James Fleming has been acting as President since 1 Oct 2017. Christopher Vito Doria joined the executive team most recently as the Principal Operations Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Edmond N Moriarty	Ceo and president	1 Oct 2017	Other	1744318
Rfs Opco Llc	Member	1 Oct 2017	75% - 100%	82-4926179
Gregory James Fleming	Director	1 Oct 2017	Other	2338986
Annah Y Kim Rosen	Chief compliance officer	1 Mar 2018	Other	2852366
David Ross Portnoff	Cfo and principal financial officer	1 Mar 2018	Other	2977967
Hardit Singh	Director	1 Mar 2018	Other	2155640
James Michael Chirdo	Sr vice president & principal operations officer	1 Jan 2019	Other	2530350
Christopher Randazzo	Ceo & president	1 May 2019	Other	5199154
Brian John Warshaw	Managing director, principal operations officer	1 May 2019	Other	1938243
Michael Dean Solomon	General counsel & cco	1 Jul 2019	Other	4853935
Robert Patrick Zimmel	Principal financial officer	1 Aug 2019	Other	2892454
Christopher Vito Doria	Principal operations officer	1 Sep 2019	Other	1954931

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Viking Global Partners Llc	General partner	1 Apr 1999	Other	13-4055117
Rockefeller Capital Management General Partner L.L.C.	General partner	1 Oct 2017	Other	82-4944910
Viking Global Investors Lp	Voting security shareholder	1 Jan 2018	75% - 100%	132272
Rockefeller Capital Management L.P.	Member	1 Mar 2018	75% - 100%	82-3091545
Dragsa 24 Cayman Ltd.	Limited partner	1 Mar 2018	25% - 50%	98-1398801
Dragsa 30 Cayman Ltd.	Limited partner	1 Mar 2018	25% - 50%	98-1399589

Based in New York

The principal office where Rockefeller Financial LLC performs its advisory services is located at 45 Rockefeller Plaza, New York, NY 10111, which is also the mailing address of the firm. An additional office of the firm is in Atlanta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-549-5100 or by fax 212-549-5524. The normal business hours are 9 am - 5 pm on Monday - Friday. You can find more information about the New York firm at linkedin.com/company/rockefeller-capital-management/ and its LinkedIn profile.