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| Rockefeller Financial LLC
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| CRD # | 291361 |
| SEC # | 801-114033 |
| CIK # | 0000315123, 0001723502 |
| AUM | 99.60 B (2026-03-31) |
| Employees | 1,005 (81% Investors, 87% Brokers) |
| Phone | 212-549-5100 |
| Address | 45 Rockefeller Plaza New York, NY 10111 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] [Instagram] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($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 ($B) |
|---|
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 32,546 | 12.8 |
| (b) Individuals (high net worth individuals) | 15,255 | 69.4 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 911 | 4.4 |
| (h) Charitable organizations | 275 | 2.4 |
| (i) State or municipal government entities | 7 | 0.3 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 3 | 0.5 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 1,295 | 9.9 |
| (n) Other | 0 | 0.0 |
| Total | 95,368 | 99.6 |
| By Discretionary | ||
| Discretionary | 92,609 | 93.5 |
| Non-Discretionary | 2,759 | 6.1 |
| Total | 95,368 | 99.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.3 | |
| United States Persons | 99.3 | |
| Total | 95,368 | 99.6 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-NT | [0000315123] | |
| 13F-NT | [0001723502] |
| Firm Profile (Form ADV) | |
|---|---|
| Clients | 223 |
| Serves | Institutional, Retail |
| Related Firms | State | AUM |
|---|---|---|
|
Rockefeller Financial LLC
✚
|
NY | 99.60 B |
|
Rockefeller & Co LLC
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|
NY | 36.76 B |
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|---|---|---|
|
Income Research Management
✚
|
MA | 130.65 B |
|
Putnam Investment Management LLC
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|
MA | 117.24 B |
|
Icici Prudential Asset Management Company Limited
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|
117.06 B | |
|
Natixis Advisors LLC
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|
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|
AssetMark Inc
✚
|
CA | 91.76 B |
|
Morningstar Investment Management LLC
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|
IL | 87.82 B |
|
Kestra Advisory Services LLC
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|
TX | 79.80 B |
|
Sterling Capital Management LLC
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|
NC | 69.23 B |
|
Orion Portfolio Solutions LLC
✚
|
NE | 64.84 B |
|
Causeway Capital Management LLC
✚
|
CA | 62.24 B |