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.
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 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.
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.
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.
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.