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Updated September 24, 2026. Quick answer: Rockefeller Capital Management is registered with the SEC as both a broker-dealer and an investment adviser. Per its own current fee brochure, a $500,000 account would run up to $10,350 a year (the sum of the firm’s published maximum fee components) under its published fee schedule; the minimum to open an account is no fixed published minimum for Rockefeller Private Wealth Advisory (RPWA) Program. Is it a fiduciary? Yes, when it is acting as your investment adviser; when the same representative acts as your broker-dealer instead, the applicable standard is best-interest, not fiduciary, and its own Form CRS states representatives can earn commissions in that capacity.
Rockefeller Capital Management at a glance
| Fact | What Rockefeller Capital Management’s own pages say |
|---|---|
| Legal entity | Rockefeller Financial LLC |
| Registration | Rockefeller Financial is dually registered with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser and broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and Securities Investor Protection Corporation (“SIPC”). |
| Fee on a $500,000 account | Up to $10,350 a year (the sum of the firm’s published maximum fee components), per its own current brochure |
| Minimum to open an account | No fixed published minimum for Rockefeller Private Wealth Advisory (RPWA) Program |
| Cost to leave (exit fee) | See how to leave Rockefeller Capital Management |
What Rockefeller Capital Management’s own fee schedule charges
“The maximum Rockefeller Fee per account is 2.00% annually of the AUM in the account. The Relationship Fee is a 0.035% (3.5 bps) annual asset-based fee and will be charged quarterly in arrears based on the closing market value of the assets in each advisory account on the last business day of the billing quarter. The Platform Fee is a 0.035% (3.5 bps) annual asset-based fee and will be charged quarterly in arrears.”
Rockefeller does not publish a dollar-breakpoint tiered schedule for its flagship RPWA wrap program; instead it discloses a maximum Rockefeller Fee of 2.00% of AUM plus two additional mandatory asset-based fees, a 0.035% Relationship Fee and a 0.035% Platform Fee, both of which apply to virtually all RPWA accounts up to $75 million in household assets. I summed these three disclosed maximums to a combined ceiling of 2.07% and multiplied each balance by 0.0207 (for example, 250000 x 0.0207 = 5175) to get dollar_at.
| Account balance | Annual fee |
|---|---|
| $250,000 | $5,175 |
| $500,000 | $10,350 |
| $1,000,000 | $20,700 |
| $2,000,000 | $41,400 |
See the full breakdown, including how the figure is calculated, on Rockefeller Capital Management’s own fee page.
Is Rockefeller Capital Management a fiduciary?
Rockefeller Financial is dually registered with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser and broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and Securities Investor Protection Corporation (“SIPC”).
“When we provide you with a recommendation as your broker-dealer or act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours.”
Rockefeller Financial PAs receive compensation based on a percentage of eligible revenue earned on advisory and brokerage activities attributable to accounts they service.
Full detail, including the exact registration type and source: Rockefeller Capital Management’s fiduciary status, explained.
The minimum to open an account
“There currently is no minimum account size requirement. Certain RPWA Program Strategies, particularly those utilizing an Investment Manager or strategy, have higher minimum account size requirements, up to $250,000 or more, depending on the Investment Manager selected. Minimum account size requirements may be negotiable, depending on the client household, relationship, and type and size of the account.”
No fixed published minimum for Rockefeller Private Wealth Advisory (RPWA) Program. See the full minimum-investment breakdown, including what that minimum would cost per year, on Rockefeller Capital Management’s minimum investment page.
What it costs to leave
A dedicated how-to-leave page for Rockefeller Capital Management covers the exit costs in full. The general mechanics of switching financial advisors and a dated termination letter apply regardless of firm.
What we would compare it against
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- Wrap Fee Brochure (Form ADV Part 2A, Appendix 1) (March 31, 2026): https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038823
- Rockefeller Capital Management Form CRS (Rockefeller Financial LLC and Rockefeller & Co. LLC) (Revised August 25, 2025): https://reports.adviserinfo.sec.gov/crs/crs_291361.pdf
- SEC Investment Adviser Public Disclosure, Rockefeller Financial LLC (CRD #291361): https://adviserinfo.sec.gov/firm/summary/291361
- Rockefeller Financial LLC, SEC Form ADV filing: https://reports.adviserinfo.sec.gov/reports/ADV/291361/PDF/291361.pdf
Methodology. This page was built September 24, 2026, drawing directly on Rockefeller Capital Management’s own current fee brochure and Form CRS, both linked above, plus this site’s own already-published fiduciary and minimum-investment pages for the same firm, each independently sourced when it was built. Any distinction we could not independently confirm this session is named as an honest gap rather than presented as verified. Nothing here is personalized financial, tax, legal, or investment advice, and it is not a substitute for reading Rockefeller Capital Management’s own Form ADV Part 2A and Form CRS. We have not used Rockefeller Capital Management as a client. Rockefeller Capital Management did not pay for, review, or influence this content. See our Editorial Policy, Corrections, Affiliate Disclosure, and Disclaimer.
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