SourcingSourcing

ROCKEFELLER & CO. LLC

C26
CRD 294197·SEC 801-113009·NEW YORK, NY
AUM
$36.76B
$1B+
Est. Revenue
$367.6M
@ 1% on AUM
Est. EBITDA
$110.3M
@ 30% margin
Est. Deal Value
$882.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROCKEFELLER & CO. LLC
CRD
294197
SEC file #
801-113009
EIN
—
DBA names
Rockefeller Capital Management

Economics

AUM
$36.76B
AUM band
$1B+
AUM trajectory
'20'26
$14.96B → $36.76B▲ +146%
Client mix
Individuals Other3,335
Individuals High Net Worth2,596
Corporations374
Charitable Organizations87
Pooled Investment Vehicles47

Operations

Employees (total)
602
Advisory staff (per ADV)
372
Advisory staff (5-yr trend)
'20'26
58 advisors → 372 advisors▲ +541%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Northern Trustlow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
rockco.com/mealey-wealth-partners

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RFS OPCO LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
RFS OPCO LLC
FLEMING, GREGORY, JAMES
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
ok
Rdap Domain
ROCKCO.COM
Rdap Domain Creation Date
1995-10-20T04:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
145
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Northern Trust86
Jpmorgan8
Goldman Sachs6
Fidelity5
Raymond James4
Fee Schedule
Bracket I37
Bracket Iv22
Bracket Ix18
Bracket X9
Bracket Iii8
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-19T04:00:00Z
Rdap Domain Last Changed
2024-10-19T14:31:37Z
Rdap Nameservers
Ns1-04.azure-dns.comNs2-04.azure-dns.netNs3-04.azure-dns.orgNs4-04.azure-dns.info
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
Yes

People (55)

55
FLEMING, GREGORY, JAMES
Executive Officer · 2.5%
2338986
McCarthy, Ashley
Executive Officer · 2.5%
4984362
SCHACHTER, ALISON, THOMAS
Executive Officer · 2.5%
4963541
Solfaro, Patricia, Anne
Executive Officer · 2.5%
4800546
Wong-Tsang, Wendy
Executive Officer · 2.5%
2857779
KELLYANN RISLER
IAR
6597585
DEBRA ANDREA VESELITZA
IAR
2886677
AMBER J DORNELL
IAR
2696994
ADAM SCOTT ABRAMSON
IAR
5345373
MICHAEL JOSEPH MERLIN
IAR
3058013
NICK M BAPIS
IAR
11962
KEITH JOSEPH BERNARD
IAR
5920542
APRIL LEIGH GAY
IAR
4599191
EMERY BOURNE
IAR
2991910
Keven John Donohue
IAR
6222261
CARISSA L. MORGANSTEIN
IAR
5833401
NICHOLAS MATTHEW PETERS
IAR
6282950
MIA LYNN CARDWELL
IAR
2864638
MICHAEL ANGELO LOIZZI
IAR
5867950
BRIAN CONAN CUNEO
IAR
2892928
MATHEW TREVOR KLODY
IAR
7021884
STEVEN MICHAEL COHEN
IAR
4969637
BRIAN JAMES HENDERSON
IAR
2499420
CRAIG STEVEN JANUS
IAR
5883260
MICHAEL PAUL ATHANAS
IAR
1776714
MICHAEL NICHOLAS BAPIS
IAR
2211594
Rebecca Michele Mineo
IAR
6875886
RUSSELL DUNBAR BOWMAN
IAR
7388390
David Bruce Miracle
IAR
7814175
KRISTIN KAYE NICHOLSON
IAR
4629115
ELIZABETH ANNE PALOMEQUE
IAR
4584027
RYAN THOMAS PAPEZ
IAR
5946032
Gary G Pollock
IAR
1590194
LISA MARIE KITCHIN
IAR
5696901
NEIL SIMS HOLMES
IAR
6595422
Craig D Pollock
IAR
4629116
ROBERT LINCOLN PANETTI
IAR
2628960
ANIS SALAH
IAR
5754763
ANTHONY MICHAEL LINDNER
IAR
3192734
Jack Robert Worth
IAR
7668524
ELAINE MARIE POWELL
IAR
4125764
HEATHER GELCHION
IAR
7703561
THOMAS CASEY STAMPS
IAR
6235703
JAHAN K JEWAYNI
IAR
4839007
WILLIAM ERIC CHRISTIAN
IAR
2930040
DOUGLAS RICHARD LINKER
IAR
2893977
SCOTT N BRECKENRIDGE
IAR
5490682
ROBERT CRAIG OBRIEN
IAR
2800694
ANNA KELLY
IAR
5951732
JOHN LAHOUD
IAR
4254835
MICHAEL CHARLES PEARSON
IAR
2761389
THOMAS LANE EPPERSON
IAR
3120280
MEGAN TAYLOR MILES
IAR
5301425
BRIANNA WIDRICK RITZ
IAR
5858368
MICHELLE LYNN MATAN
IAR
6011403