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Rockefeller Capital Management

Multifamily office listing in New York, New York, United States.

  • SEC-registered
Regulatory AUM
$99.6 billion
Employees
1005
Clients
11-25
SEC CRD
291361

Independent financial services firm providing wealth management, investment management, and strategic advisory services to families, institutions, individuals, and corporations. Rockefeller Capital Management announces official launch

Overview

Rockefeller Capital Management offers wealth management, investment management, investment banking, and strategic advisory services. Its Rockefeller Global Family Office provides individualized wealth services, while Rockefeller Global Investment Management delivers equity, alternative, and fixed-income strategies, macroeconomic research, manager selection, capital markets, banking and lending, insurance, retirement solutions, and other managed solutions. About Rockefeller Capital Management Casey C. Clark

The firm serves families and individuals, institutional investors, and corporations. Its investment banking team provides independent strategic advice and guidance to private and public companies. About Rockefeller Capital Management Rockefeller Global Investment Banking team

History

Rockefeller Capital Management launched in March 2018 following the acquisition of Rockefeller & Co., the Rockefeller family office. The firm traces its heritage to John D. Rockefeller’s family office, established more than 140 years ago. Rockefeller Capital Management announces official launch About Rockefeller Capital Management

Leadership

Gregory J. Fleming is President and Chief Executive Officer and has led the firm since its March 2018 launch. Casey C. Clark, CFA®, is President of Rockefeller Global Investment Management, where he oversees the platform’s strategic direction and execution. Gregory J. Fleming Casey C. Clark

Services

The firm’s services include wealth management, portfolio management for individuals and institutions, financial planning, pension consulting, and selecting other advisers. Its broader platform also includes investment management, investment banking, strategic advice, capital markets, banking and lending, insurance, retirement solutions, manager selection, macroeconomic research, and managed solutions. SEC Form ADV for Rockefeller Capital Management About Rockefeller Capital Management

What the firm offers

  • Investment management
  • Financial planning
  • Risk and insurance
  • Private and alternative investments
  • Retirement planning

Client Focus

Rockefeller Capital Management works with families and individuals, institutional investors, and corporations. Rockefeller Global Family Office is designed around individualized wealth services, while the investment banking practice advises both private and public companies. About Rockefeller Capital Management Rockefeller Global Investment Banking team

Approach

Rockefeller describes itself as an independent financial services firm. Its platform combines family-office wealth services with investment management and strategic advisory capabilities, allowing clients to access multiple types of financial guidance through the firm’s businesses. Rockefeller Capital Management announces official launch

Assets and Reach

The firm’s website reports more than $236 billion in client assets and 60 offices worldwide. About Rockefeller Capital Management

The SEC’s Investment Adviser Public Disclosure database lists Rockefeller Capital Management, CRD 291361, as SEC approved, effective September 21, 2018. SEC Investment Adviser Public Disclosure record

By the numbers

Regulatory AUM by year$0K$27.4B$54.8B$82.2B$109.6B2019202020212022202320252026
Source: SEC Form ADV data (Part 1A, Items 5A, 5D, 5F) via SEC Information About Registered Investment Advisers files and IAPD, CRD 291361. As of .
Regulatory assets under management
YearRegulatory AUMDiscretionaryNon-discretionary
2019$562 million$562 million$0
2020$5.4 billion$5.2 billion$267 million
2021$14.9 billion$14.1 billion$728 million
2022$28.7 billion$27.5 billion$1.2 billion
2023$34.7 billion$32.8 billion$1.9 billion
2025$70.0 billion$66.3 billion$3.7 billion
2026$99.6 billion$93.5 billion$6.1 billion
Average AUM per client by year$0K$2M$4M$6M$8M2019202020212022202320252026
Source: SEC Form ADV data (Part 1A, Items 5A, 5D, 5F) via SEC Information About Registered Investment Advisers files and IAPD, CRD 291361. Regulatory AUM divided by the client count reported in Item 5D. Client types reported as fewer than 5 are not counted, so this is approximate. As of .
Average AUM per client
YearAverage AUM per client
2019$7 million
2020$2 million
2021$2 million
2022$2 million
2023$2 million
2025$2 million
2026$2 million
Clients by type (2026)Individuals32,546High net worth individuals15,255Corporations1,295Pension plans911Charities275Government entities7Insurance companies3
Source: SEC Form ADV data (Part 1A, Items 5A, 5D, 5F) via SEC Information About Registered Investment Advisers files and IAPD, CRD 291361. "<5" means the firm reported fewer than 5 clients of that type. As of .
Clients by type
Client typeClients (2026)
Individuals32,546
High net worth individuals15,255
Pension plans911
Charities275
Government entities7
Insurance companies3
Corporations1,295
Employees by year027655382911062019202020212022202320252026
Source: SEC Form ADV data (Part 1A, Items 5A, 5D, 5F) via SEC Information About Registered Investment Advisers files and IAPD, CRD 291361. As of .
Employees reported on Form ADV
YearEmployees
201945
2020116
2021280
2022423
2023531
2025824
20261,005

Ranks #1 of 22 SEC-registered firms in NY on MultifamilyOffices.com by regulatory AUM.

Source: SEC Form ADV data (Part 1A, Items 5A, 5D, 5F) via SEC Information About Registered Investment Advisers files and IAPD, CRD 291361. Ranking uses only firms profiled on MultifamilyOffices.com. As of .

FAQs

When was Rockefeller Capital Management launched?

Rockefeller Capital Management launched in March 2018 after acquiring Rockefeller & Co., the Rockefeller family office. Rockefeller Capital Management announces official launch

Who leads Rockefeller Capital Management?

Gregory J. Fleming is President and Chief Executive Officer. Casey C. Clark, CFA®, is President of Rockefeller Global Investment Management. Gregory J. Fleming Casey C. Clark

What types of clients does the firm serve?

The firm serves families and individuals, institutional investors, and corporations through wealth management, investment management, investment banking, and strategic advisory services. About Rockefeller Capital Management

  • LocationMultifamily offices in New York

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  • GuideMultifamily office services

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  • GuideFiduciary duty vs suitability

    This comparison of fiduciary duty and suitability explains two standards that can affect how financial advice is delivered. Understanding the distinction helps a family or business owner prepare questions about recommendations, investment management, insurance, retirement planning, and the responsibilities tied to an advisory relationship.

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    Profiles of Family Management Corporation, The Abernathy Group II Family Office, and AVESTAR CAPITAL, LLC provide nearby examples for comparison. Reviewing their stated services and client focus can help readers identify which offerings, such as private investments, planning, or institutional advice, fit their own needs.

Sources

  1. Rockefeller Capital Management announces official launch
  2. About Rockefeller Capital Management
  3. Gregory J. Fleming
  4. Casey C. Clark
  5. Rockefeller Global Investment Banking team
  6. SEC Form ADV for Rockefeller Capital Management
  7. SEC Investment Adviser Public Disclosure record, CRD 291361

Claim or correct this profile

This profile is a factual summary written in our own words from public sources. It is for information only. It is not an endorsement, rating, ranking or recommendation, and it is not investment advice. MultiFamilyOffices.com is not affiliated with the SEC or with this firm unless stated. Form ADV figures are self-reported by the firm.

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