SourcingSourcing

ROCKEFELLER FINANCIAL LLC

C26
CRD 291361·SEC 801-114033·NEW YORK, NY
AUM
$99.60B
$1B+
Est. Revenue
$996.0M
@ 1% on AUM
Est. EBITDA
$298.8M
@ 30% margin
Est. Deal Value
$2.39B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROCKEFELLER FINANCIAL LLC
CRD
291361
SEC file #
801-114033
EIN
520795747
DBA names
Rockefeller Capital Management

Economics

AUM
$99.60B
AUM band
$1B+
AUM trajectory
'20'26
$562.3M → $99.60B▲ +17613%
Client mix
Individuals Other32,546
Individuals High Net Worth15,255
Corporations1,295
Pension Profit Sharing Plans911
Charitable Organizations275

Operations

Employees (total)
1,005
Advisory staff (per ADV)
815
Advisory staff (5-yr trend)
'21'26
74 advisors → 815 advisors▲ +1001%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
m.facebook.com/rockefellercapitalmanagement(social)

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RFS OPCO LLC ("OPCO")
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
RFS OPCO LLC ("OPCO")
ALEXANDER, MARK DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
30
Form 5500 Total Participants
169
Form 5500 Total Compensation
967,488
Form 5500 Compensation Trajectory 3y
2025943,424
202624,064
20240
Form 5500 Plan Count Trajectory 3y
202528
20241
20261
Schedule C Total Compensation
967,488
Schedule C Service Provider Rows
30

SEC EDGAR

Edgar Cik
0001950360
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2022-10-31
Edgar Last Filing Date
2024-08-19
Edgar Form D Count
2
Edgar Form D Offerings
2024-08-192024-08-19 · 0001950360-24-000002
2022-10-312022-10-31 · 0001950360-22-000001
Edgar Former Names
Lombard International Life Assurance Co Separate Account VL 408

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
47
Bc Firm Active IA Count
32
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Fidelity3
Edgar Addresses
Mailing
ONE LIBERTY PLACE1650 MARKET ST., 8TH FLOORPHILADELPHIA, PA 19103
Business
ONE LIBERTY PLACE1650 MARKET ST., 8TH FLOORPHILADELPHIA, PA 19103
Edgar EIN
520795747
Edgar Recent Filings
D/A2024-08-19 · 0001950360-24-000002
D2022-10-31 · 0001950360-22-000001
Fee Schedule
Bracket I43
Bracket Ix36
Bracket Iv7
Bracket X4
Bracket Xi4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (55)

55
ALEXANDER, MARK DAVID
Executive Officer · 2.5%
2202934
MORIARTY, EDMOND NICHOLAS
Executive Officer · 2.5%
1744318
OUTLAW, MICHAEL WAYNE
Executive Officer · 2.5%
2760690
PATTEN, DEIRDRE, MARIAN
Executive Officer · 2.5%
1357509
MIRZA, RIZWAN MOHAMMAD
Executive Officer · 2.5%
5080469
Diane Bernadette Mostello
IAR
7509699
BRIAN STEPHEN FERRARO
IAR
7373558
JAMES ALLOTT
IAR
7452080
ELI ISAAC BOUSSI
IAR
6121792
CHRISTOPHER VITO DORIA
IAR
1954931
Dennis Hong Kim
IAR
2275997
Ka'Jalene Kirkland
IAR
7578065
TIMOTHY DANIEL O'HARA
IAR
2682487
KELLYANN RISLER
IAR
6597585
KEELYE MAE ST. JOHN
IAR
6432789
KENNETH ALFRED WILLETTS
IAR
1676933
LAWRENCE A JONES
IAR
8069834
Anthony Manuel Martinez
IAR
7905814
CHRISTOPHER RANDAZZO
IAR
5199154
Grace Nealon
IAR
7681601
Brian David Opatosky
IAR
3025888
DEBRA ANDREA VESELITZA
IAR
2886677
BRIAN J MULLIGAN
IAR
7166361
Georgios Poulakis
IAR
7595334
Sean Fitzgibbons
IAR
7429960
KELLY A FLAHERTY
IAR
5271852
Erica Lynn Zippel
IAR
7769793
MARK RANDALL PATTERSON
IAR
1960961
JOHN BELIN
IAR
7600422
DAVID EDWARD O'LEARY
IAR
4967685
Zane Arie Rianom
IAR
7950318
BRIAN FRANCIS LESSIG
IAR
4027441
MICHAEL PAUL MISCIAGNA
IAR
5346749
Azim Ahmed
IAR
8009522
Wong-Tsang, Wendy
IAR
2857779
KEVIN MICHAEL OCONNOR
IAR
6950706
AMBER J DORNELL
IAR
2696994
David Anthony North
IAR
7711143
ADAM SCOTT ABRAMSON
IAR
5345373
MICHAEL JOSEPH MERLIN
IAR
3058013
JOSE RICARDO GARZA
IAR
5422815
KATHRYN STEVENSON SENKBEIL
IAR
713829
GRAHAM CHARLES KENNEDY
IAR
2712418
BONNIE CARROL HAMILTON
IAR
2954614
NICK M BAPIS
IAR
11962
LEILA TAYLOR
IAR
6428270
KEITH JOSEPH BERNARD
IAR
5920542
APRIL LEIGH GAY
IAR
4599191
EMERY BOURNE
IAR
2991910
MICHELLE L PECYNA
IAR
6326301
Jacob Aaron Linzmeier
IAR
7538011
SARAH ANNE MADISON
IAR
7264534
Audrey Crump
IAR
7126717
Keven John Donohue
IAR
6222261
PATRICK MCALLISTER TOUHEY
IAR
6906631