Rockefeller Capital Management's history goes all the way back to the 19th century when it was founded to help John. D. Rockefeller and his family manage their assets. Today, the firm continues to provide an array of investing and wealth management services.
Rockefeller Capital Management currently has tens of billions in client assets and a substantially large team of advisors serving its clients. When it comes to advisory services, the fee-based firm charges asset-based fees and commissions. The firm’s team includes a number of chartered financial analysts (CFAs).
Rockefeller Capital Management holds a spot on SmartAsset's ranking of the top financial advisors in New York, New York and New York State.
Rockefeller Capital Management Background
Rockefeller Capital Management traces its roots back to 1882 when the Rockefeller family built the firm to protect their finances. The firm officially became Rockefeller Capital Management after its registration with the U.S. Securities and Exchange Commission (SEC) in 1980.
Rockefeller Global Investment Management is part of Rockefeller & Co. LLC, which operates as an indirect, wholly owned subsidiary of Rockefeller Capital Management, L.P. (RCM). RCM is primarily owned by investment funds affiliated with Viking Global Investors (the largest equity holder), alongside several minority stakeholders
Rockefeller Capital Management Client Types and Minimum Account Sizes
Rockefeller Capital Management serves individuals with and without a high net worth, charitable organizations, family offices, trusts, estates, endowments, foundations, pension and profit-sharing plans, charitable organizations, municipal government entities, corporations and business entities, insurance companies, sovereign wealth funds and banks.
The firm’s account minimums vary based on account type.
Services Offered by Rockefeller Capital Management
Rockefeller Capital Management provides investment advisory and related services through its affiliated businesses, including Rockefeller Global Investment Management (RGIM), Rockefeller Global Family Office and Rockefeller Financial. RGIM offers discretionary, non-discretionary and model-delivery investment management across equity, fixed income and alternative strategies. The firm also provides portfolio guidance, asset allocation insights, and access to third-party managers, as well as certain non-investment solutions such as structured products, insurance and lending advisory through affiliated platforms.
Rockefeller Capital Management Investment Philosophy
Rockefeller Capital Management, through its investment management division, follows a research-driven approach focused on long-term growth and risk management. The firm combines in-depth analysis of individual companies with broader economic insights to guide investment decisions. It invests across a range of asset classes, including stocks, bonds, and alternative investments such as private equity and long/short strategies.
Equity strategies focus on identifying high-quality companies with strong growth potential or attractive valuations. Fixed income strategies emphasize income generation and capital preservation through investments in government, corporate and municipal bonds. The firm also incorporates alternative investments to enhance returns and diversification, with portfolios implemented through various vehicles including separately managed accounts and funds.
Rockefeller Capital Management Fees
In its capacity as an investment advisor, Rockefeller generally charges a fee calculated as a percentage of assets, depending on the account. For Long-Only Separately Managed accounts, fees typically range from 0.50% to 1.5% annually for equity strategies and from 0.10% to 0.75% annually for fixed-income strategies. For Long/Short Equity Strategy accounts, the standard fee is a 1.5% annual investment management fee and a 20% performance fee (subject to a traditional high-water mark, or an all-time high).
The firm's Private Equity Strategy requires an annual advisory fee of up to 2%, and up to 20% carried interest. The latter can reach up to 25% in certain cases.
There may be other fees, including but not limited to brokerage and trading costs and expenses and commissions, third-party custody fees, processing fees and more. Learn more about advisors' typical costs here.
What to Watch Out For
Rockefeller has one disclosure on its Form ADV. However, the firm is registered as both an investment advisor and a broker-dealer. When advisors act as broker-dealer representatives, they can receive commissions. However, the firm is legally required to act in your best interest under its fiduciary duty.
Opening an Account with Rockefeller Capital Management
You can set up an account with Rockefeller Capital Management by visiting any of the firm’s offices or by contacting the firm at (212) 549-5100.
All information is accurate as of the writing of this article.
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