Rockefeller & Co., Inc.

10 Rockefeller Plaza

3rd Floor

New York, NY 10020

212-549-5100

rockco.com

Asset Breakdown

Total AUM Total Accounts Avg. Account AUM
Discretionary $10,158,539,239 2,700 $3,762,422
Non-discretionary $170,142,607 130 $1,308,789
Total $10,328,681,846 2,830 $3,649,711

Staff

Employees 151

Clients

High-net-worth individuals 51-75%
Financial planning clients N/A

Clients

High-net-worth client assets Up to 25%

Compensation

Percentage of assets under management Yes
Hourly charges Yes
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees Yes

Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.

For more information about the RIA Data Center, please contact InvestmentNews Data.

Reprints: For reprints of these rankings, please contact Laura Picariello.

*Methodology: InvestmentNews qualified 1,906 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2017. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2017, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.

Database last updated on June 5, 2017.

Featured video

Events

Amy Florian: Issues with elder abuse and diminished capacity

As clients age, they become increasingly susceptible to diminished capacity and/or elder abuse. Amy Florian of Corgenius explains the nature and causes of diminished capacity and the signs to watch for.

Latest news & opinion

More advisers disapprove of Trump job performance at six-month mark

More than half of respondents to InvestmentNews poll say their confidence has dropped since start of term. Supporters give him partial credit for market uptick.

Fidelity taps Goldman Sachs to expand lending services through RIAs

Streamlined non-purpose loans use investment portfolios as collateral.

Jay Clayton says SEC, DOL can give market 'clarity' on fiduciary rule

Chief regulator is confident two agencies could reach 'common ground' on an investment advice standard across all accounts.

Vanguard winning at bond inflows, too

But iShares is strong competition.

Sen. Gary Peters brings broker background to work every day on Capitol Hill

Michigan Democrat resists ripping up DOL fiduciary rule but would be open to some changes.