AL
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
875 advisors
Number of Clients
35,950 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$70.0B
Fee Structure
Rockefeller Financial charges either a flat annual dollar fee or a fee calculated as a percentage of assets under management. The firm also receives payments from third parties, including sponsors of investment products. Financial planning reports and analyses are available, sometimes for a separate fee. Specific fee details are not provided in this brochure excerpt.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingEstate PlanningCharitable GivingHigh Net Worth
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Advisor Information
Office location
9950 Woodloch Forest Tower, 4th Floor, The Woodlands, TX, 77380
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Rockefeller Capital Management
November 2022 - Present · 3 yrs 2 mos
Rockefeller Financial LLC Broker
November 2022 - Present · 3 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2009 - November 2022 · 13 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
March 2009 - November 2022 · 13 yrs 8 mos
State Registrations23 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.