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Rockefeller Capital Management Review

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This review was produced by SmartAsset based on publicly available information. The named firm and its financial professionals have not reviewed, approved, or endorsed this review and are not responsible for its accuracy. Review content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named firm and its financial professionals, and firms and financial professionals having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s reviews. This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the firm mentioned in this review or its financial professionals.

Rockefeller Capital Management's history goes all the way back to the 19th century when it was made 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.

This firm is owned by investment funds affiliated with Viking Global Investors, L.P. and a trust that represents the Rockefeller family. Rockefeller Capital Management’s subsidiaries include Rockefeller Financial, Rockefeller & Co. LLC, Rockefeller Trust Company, N.A. and The Rockefeller Trust Company.

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

Through its three main divisions (Rockefeller Global Family Office, Rockefeller Strategic Advisory and Rockefeller Asset Management), Rockefeller Capital Management offers the following advisory services:

  • Financial planning
    • Trust and estate planning
    • Tax planning
    • Private banking and lending
    • Investment planning
  • Portfolio management
    • Active equity and fixed-income investing
    • Long-term investment research
  • Selection of other advisors

Rockefeller Capital Management Investment Philosophy 

Rockefeller says it determines investments and allocations based on each client’s objectives, time horizon, risk tolerance, financial horizon, financial information, liquidity needs and various other factors. 

The firm also strongly believes in sustainable investing. In fact, Rockefeller abides by four sustainable investing pillars. These include socially responsible investing, mission-driven impact, thematic investment strategies and environmental, social and governance (ESG) integration. 

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 1.25% annually for equity strategies and from 0.10% to 0.35% 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). 

For Affiliated Private Funds, investment advisory fees usually range from 0.65% to 1.50% annually. Model Program fees range between 0.35% and 0.50% of assets under management per year.

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 doesn’t have any disclosures 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 abides by 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.

Investing Tips for Beginners

  • Regardless of your experience level with investing, it’s useful to see how much an initial investment can earn you over time. Our free investment calculator can help. 
  • Finding a financial advisor doesn’t have to be hard. SmartAsset’s free tool matches you with up to three vetted financial advisors who serve your area, and you can have a free introductory call with your advisor matches to decide which one you feel is right for you. If you’re ready to find an advisor who can help you achieve your financial goals, get started now.

How Long $1mm Lasts in Retirement

SmartAsset's interactive map highlights places where $1 million will last the longest in retirement. Zoom between states and the national map to see the top spots in each region. Also, scroll over any city to learn about the cost of living in retirement for that location.

Rank City Housing Expenses Food Expenses Healthcare Expenses Utilities Expenses Transportation Expenses

Methodology We analyzed data on average expenditures for seniors, cost of living and investment returns to determine how many years of retirement a $1 million nest egg would cover in cities across America.

First, we looked at data from the Bureau of Labor Statistics (BLS) on the average annual expenditures of seniors. We then applied cost of living data from the Council for Community and Economic Research to adjust those national average spending levels based on the costs of each expense category (housing, food, healthcare, utilities, transportation and other) in each city. Using this data, SmartAsset calculated the average cost of living for retirees in the largest U.S. cities.

We assumed the $1 million would grow at a real return (interest minus inflation) of 2%. Then, we divided $1 million by the sum of each of those annual numbers to determine how long $1 million would cover retirement expenses in each of the cities in our study. Cities where $1 million lasted the longest ranked the highest in the study.

Sources: Bureau of Labor Statistics (BLS), Council for Community and Economic Research