Rockefeller & Co Inc

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Rockefeller & Co Inc ✚
CRD #	106264
SEC #	801-15106
CIK #	0000315123, 0001723502
AUM
Employees	159 (40% Investors, 2% Brokers)
Phone	212-549-5100
Address	10 Rockefeller Plaza New York, NY 10020
Source	[IAPD] [EDGAR] [Website] [LinkedIn]

Total AUM ($B) Copy

Sector	Form 13F Holdings	Value ($B)
	Apple Inc	1.7
	Nvidia Corp	1.6
	Microsoft Corp	1.5
	Alphabet Inc	1.2
	Amazon Com Inc	1.2
	Broadcom Inc	0.9
	J P Morgan Chase & Co	0.7
	Alphabet Inc	0.6
	Facebook Inc	0.6
	Lilly Eli & Co	0.5
View All

Holdings by Sector ($B)

Type	Form D Funds	Date	Sold	AUM
Other	FLP 034	2013-04-30		1.0 M
Other	Rockefeller Select Equity Fund LP	[2013-04-01]	16.4 M	12.7 M
	Filed 2013-06-03 (D/A) · Exemption 506, 3(c), 3(c)(1) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	Rockefeller Taxable Bond Fund II QP LP	[2013-04-01]	51.2 M	50.9 M
	Filed 2013-05-02 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	FLP001	2012-03-30		7.1 M
Other	FLP003	2012-03-30		2.9 M
Other	FLP004	2012-03-30		383.2 M
Other	FLP005	2012-03-30		1.8 M
Other	FLP006	2012-03-30		215.0 M
Other	FLP007	2012-03-30		14.8 M
Other	FLP008	2012-03-30		13.5 M
Other	FLP009	2012-03-30		2.5 M
Other	FLP010	2012-03-30		3.0 M
Other	FLP011	2012-03-30		1.1 M
Other	FLP012	2012-03-30		4.4 M
Other	FLP013	2012-03-30		0.7 M
Other	FLP014	2012-03-30		10.2 M
Other	FLP015	2012-03-30		11.1 M
Other	FLP018	2012-03-30		0.0 M
Other	FLP019	2012-03-30		9.5 M
Other	FLP020	2012-03-30		208.0 M
Other	FLP021	2012-03-30		17.4 M
Other	FLP022	2012-03-30		18.1 M
Other	FLP023	2012-03-30		40.9 M
Other	FLP025	2012-03-30		4.0 M
Other	FLP026	2012-03-30		0.8 M
Other	FLP028	2012-03-30		121.3 M
Other	FLP029	2012-03-30		3.1 M
Other	FLP031	2012-03-30		17.3 M
Other	FLP032	2012-03-30		4.1 M
Other	FLP033	2012-03-30		14.6 M
HF	Rockefeller Financial Asia LLC	[2012-03-30]	23.9 M	1.1 M
	Filed 2011-04-12 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Rockefeller Global Financial Services Recovery Fund LLC	[2012-03-30]	31.0 M	27.6 M
	Filed 2015-06-02 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	Rockefeller Taxable Bond Fund II LP	2012-03-30		73.1 M
Other	Rockefeller Tax Exempt Income Fund - National LP	2012-03-30		53.4 M
Other	Rockefeller Tax Exempt Income Fund - NY LP	2012-03-30		147.6 M
VC	Rockefeller Venture Fund LLC	2012-03-30		0.2 M
Other	Rockefeller Venture Opportunities Fund LP	2012-03-30		17.3 M

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	268	0.1
(b) Individuals (high net worth individuals)	446	4.6
(c) Banking or thrift institutions	0	4.0
(d) Investment companies	6	1.2
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	42	3.6
(g) Pension and profit sharing plans	0	0.0
(h) Charitable organizations	79	1.2
(i) State or municipal government entities	0	0.4
(j) Other investment advisers	0	0.0
(k) Insurance companies	0	0.2
(l) Sovereign wealth funds and foreign official institutions	0	0.5
(m) Corporations or other businesses not listed above	6	0.0
(n) Other	0	0.0
Total	2,731	15.8
By Discretionary
Discretionary	2,586	15.5
Non-Discretionary	145	0.3
Total	2,731	15.8
By Non-United States Persons
Non-United States Persons		0.9
United States Persons		14.9
Total	2,731	15.8

Form D Directors	Role	# Filings	# Firms	2011 - 2026
Rockefeller Fund Managers LLC	Executive Officer	6	3

EDGAR Form	CIK	2011 - 2026
13F-NT	[0000315123]
13F-NT	[0001723502]

Firm Profile (Form ADV)
Discretionary AUM	$9.6B
Clients	42 (3 non-US)
Serves	Institutional, Retail
Fund Types	Hedge Fund, Private Equity
LEI	254900AS2JCFQJX9T709

Rockefeller & Co Inc

Assets, Funds, Holdings