Data / Investment advisers / New York / Rockefeller Capital Management
Rockefeller Capital Management, New York, NY: $99.6 billion AUM, SEC registered investment adviser
Rockefeller Capital Management is an SEC registered investment adviser with its main office in New York, New York and reports $99.6 billion in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management and fixed fees.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 291361
- SEC file number
- 801-114033
- SEC status
- Approved, effective September 21, 2018
- Legal name
- Rockefeller Financial LLC
- Main office
- 45 Rockefeller Plaza Floor 5, New York, NY 10111
- Phone
- (212) 549-5100
- Regulatory AUM
- $99,603,487,232 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $93,524,438,153
- Non discretionary AUM
- $6,079,049,079
- Accounts
- 95,368
- Employees
- 1,005, of which 815 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 67
- Form ADV Item 11 disclosures
- Reported: other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- March 31, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 15,255 | $69.36 billion |
| Individuals (other than high net worth individuals) | 32,546 | $12.78 billion |
| Corporations or other businesses | 1,295 | $9.91 billion |
| Pension and profit sharing plans | 911 | $4.41 billion |
| Charitable organizations | 275 | $2.40 billion |
| Insurance companies | 3 | $470.8 million |
| State or municipal government entities | 7 | $275.2 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $99.60 billion | March 31, 2026 |
| December 1, 2025 | $70.03 billion | August 25, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Warburg Pincus LLC | New York | $108.66 billion | 213 | adviserinfo.sec.gov |
| Bam Credit and Insurance Solutions Advisor LLC | New York | $107.29 billion | 1 | adviserinfo.sec.gov |
| Brookfield Asset Management Pic US, LLC | New York | $105.30 billion | 116 | adviserinfo.sec.gov |
| Oak Hill Advisors, L.P. | New York | $100.72 billion | 94 | adviserinfo.sec.gov |
| Blackstone Credit BDC Advisors LLC | New York | $100.65 billion | Not listed | adviserinfo.sec.gov |
| Renaissance Technologies LLC | New York | $96.38 billion | 4 | adviserinfo.sec.gov |
| Blue Owl GPSC Advisors LLC | New York | $94.65 billion | 125 | adviserinfo.sec.gov |
| Coatue Management, L.L.C. | New York | $92.71 billion | 146 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Rockefeller Capital Management on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.