Brentwood, TN Office
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Rockefeller Capital Management
Enterprise
Firm-wide stats for Rockefeller Capital Management
About
Rockefeller Financial LLC serves high‑net‑worth and ultra‑high‑net‑worth individuals, families and family offices as well as institutional clients, retirement plans, foundations and corporations. The firm offers discretionary and non‑discretionary portfolio management, financial planning and consulting, and — unusually for an enterprise adviser — operates as a registered broker‑dealer that effects securities transactions, sells variable insurance products and provides placement and investment banking services.
The firm organizes client relationships around a Private Advisor model and a consolidated investment platform (Rockefeller Global Investment Management, or RGIM) that delivers discretionary, non‑discretionary and model‑delivery solutions across equities, fixed income and alternatives. Clients may receive direct portfolio management, access to third‑party managers, wrap‑fee programs and personalized managed account services (including the Rockefeller Personalized Portfolios), and the firm also serves as a sub‑advisor or provides model and consulting services where appropriate.
Distinctive features noted in the brochure include the firm’s broker‑dealer registration and its active role in placing alternative investment vehicles — creating arrangements that generate placement, servicing and occasional performance fees — as well as an integrated set of affiliated capabilities (trust and insurance services and an asset management platform). The brochure also documents a recent recapitalization and outside equity ownership (with Viking identified as a principal investor), which the firm says affects governance, affiliations and related disclosures about product availability and potential conflicts of interest.
Based on Rockefeller Capital Management
Expertise
Based on Rockefeller Capital Management
Location
320 Seven Springs Way, Suite 15
Brentwood TN 37027
Advisors at this office
3
Advisors at this office
Richard S
Series 66
Brentwood, TN
Rockefeller Financial LLC
Richard Schmock is a financial advisor with Rockefeller Financial LLC, holding a Series 66 credential and 20 years of industry experience. His prior roles include positions at Morgan Stanley Private Bank and Morgan Stanley. Outside of his advisory work, he is involved in managing a rental property through a family-run structure. Rockefeller Financial LLC serves high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm provides a range of investment management and financial planning services, operating under a Private Advisor model with a consolidated platform offering discretionary and non-discretionary solutions across multiple asset classes.
Paul U
Series 66
Brentwood, TN
Rockefeller Financial LLC
Paul Urbanek is a financial advisor at Rockefeller Financial LLC with 25 years of industry experience. He holds a Series 66 designation and previously worked at Morgan Stanley and Morgan Stanley Private Bank for over 16 years. Outside of his advisory work, he is a partner in BooBoo IssKiss, LLC, a venture involved in art, culture, and real estate. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm offers a range of portfolio management, financial planning, brokerage, and investment banking services, organizing client relationships around a Private Advisor model and a consolidated investment platform.
Johnathon S
CFA®, Series 63
Brentwood, TN
Rockefeller Financial LLC
Johnathon Santopadre is a CFA® charterholder with three years of industry experience, currently advising clients at Rockefeller Financial LLC. His prior roles include positions at Verus Investments and CalPERS. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm offers portfolio management, financial planning, and consulting services, and operates as a registered broker-dealer providing securities transactions, variable insurance products, and investment banking services.
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