Palo Alto, CA 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
845 Page Mill Road, Floor 2
Palo Alto CA 94304
Advisors at this office
8
Advisors at this office
Diane T
Series 66
Palo Alto, CA
Rockefeller Financial LLC
Diane Tycangco is a financial advisor at Rockefeller Financial LLC with four years of industry experience. She holds a Series 66 designation and has worked previously at firms including Aurum Capital Management and Franklin Templeton. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth clients along with institutional investors, offering portfolio management, financial planning, and brokerage services through an integrated platform that includes discretionary and non-discretionary solutions as well as alternative investment placement.
Katherine L
Series 66
Palo Alto, CA
Rockefeller Financial LLC
Katherine Latypov is a financial advisor with Rockefeller Financial LLC holding a Series 66 credential and seven years of industry experience. Prior to joining Rockefeller Financial in 2026, she worked for UBS Financial Services from 2018 to 2026. Rockefeller Financial LLC serves high-net-worth individuals, families, family offices, institutional clients, and corporations, offering discretionary and non-discretionary portfolio management, financial planning, and consulting. The firm operates both as an investment adviser and a registered broker-dealer, providing a range of investment solutions and alternative investment placement services through its integrated platform.
Tony C
Series 66
Palo Alto, CA
Rockefeller Financial LLC
Tony Chang is a financial advisor at Rockefeller Financial LLC with five years of industry experience. He holds a Series 66 designation and has previously worked at Rockefeller & Co and Financial Clarity Inc. His career includes roles within the Rockefeller Capital Management organization since 2019. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, and corporations. The firm offers portfolio management, financial planning, and consulting, operating as a registered broker-dealer that provides a range of investment and insurance products alongside placement and investment banking services.
Vanessa A
Series 63, Series 65
Palo Alto, CA
Rockefeller Financial LLC
Vanessa Anderson is a financial advisor at Rockefeller Financial LLC with 27 years of industry experience. She holds Series 63 and Series 65 licenses and previously worked at UBS Financial Services for 23 years. 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, and consulting services through a Private Advisor model and a consolidated investment platform.
Andy L
CFA®, Series 66
Palo Alto, CA
Rockefeller Financial LLC
Andy Lam is a CFA® charterholder with 11 years of industry experience. He is currently affiliated with Rockefeller Financial LLC and Rock & Co LLC since 2019 and previously worked at UBS Financial Services from 2014 to 2019, as well as AriiX Corporation between 2011 and 2019. 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 through a Private Advisor model and an integrated investment platform, combining discretionary and non-discretionary solutions alongside broker-dealer capabilities and alternative investment placements.
Sonya B
Series 66
Palo Alto, CA
Rockefeller Financial LLC
Sonya Brampton is a financial advisor at Rockefeller Financial LLC with four years of industry experience. She holds a Series 66 designation and has worked at Rockefeller Financial since 2020, following roles at First Republic Bank and Specialty Real Estate Services. 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, operating as both an investment adviser and a registered broker-dealer with a consolidated investment platform that delivers a range of discretionary and non-discretionary solutions.
Zheng Y
CFA®
Palo Alto, CA
Rockefeller Financial LLC
Zheng Yu is a CFA® charterholder and financial advisor at Rockefeller Financial LLC with one year of industry experience. Prior to his current role, he worked at Rockefeller & Co for six years and at Financial Clarity, INC. for four years. 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 combines portfolio management, financial planning, and brokerage services through an integrated platform that includes discretionary and non-discretionary solutions, access to third-party managers, and alternative investment opportunities.
Jean G
Series 63, Series 66
Palo Alto, CA
Rockefeller Financial LLC
Jean Gannon is a financial advisor at Rockefeller Financial LLC in Palo Alto, CA, holding Series 63 and Series 66 licenses with 29 years of industry experience. Prior to joining Rockefeller Financial in 2026, Gannon spent 23 years at UBS Financial Services. 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 operates a Private Advisor model supported by the Rockefeller Global Investment Management platform, offering discretionary and non-discretionary portfolio management, financial planning, and brokerage services.
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