# ROCKEFELLER & CO., INC

ROCKEFELLER & CO., INC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 106264
- Type: SEC-registered investment adviser
- SEC file number: 801-15106
- Location: 10 ROCKEFELLER PLAZA, 3RD FLOOR, NEW YORK, NY, 10020
- Phone: 212-549-5100
- Latest filing: 2018-03-29
- Regulatory AUM: $15.8B
- Discretionary AUM: $15.5B
- Non-discretionary AUM: $304.2M
- Clients: 159
- Accounts: 2,731

## Officers, owners & control persons (50)

_Showing 25 of 50 people._

| Name | Role | Location |
| --- | --- | --- |
| Thomas O Daniel | DIRECTOR | Bala Cynwyd, PA |
| Harris Peter | CHIEF INVESTMENT OFFICER | Vancouver, A1 |
| FLEMING GREGORY JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MCDONALD KYLE SCOTT | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| MCCARTHY DENIS JOSEPH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY | — |
| SMITH ELIZABETH WEINBERG | DIRECTOR | — |
| BRODERICK KEVIN PATRICK ANTHONY | DIRECTOR | — |
| CHASIN RICHARD MELVIN | DIRECTOR | — |
| FLAHERTY PAMELA POTTER | DIRECTOR | — |
| ROCKEFELLER MARK FITLER | DIRECTOR; VICE CHAIRMAN OF THE BOARD | — |
| ROCKEFELLER MICHAEL SORUM | DIRECTOR | — |
| STRAWBRIDGE DAVID ALAN | CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER AND MANAGING DIRECTOR (+2 more) | — |
| LEWENT JUDY CAROL | TRUSTEE | — |
| PARSONS RICHARD D | TRUSTEE | — |
| COWAN STANLEY FRANCIS | CONTROLLER AND TREASURER | — |
| ROCKEFELLER DAVID | DIRECTOR | — |
| CAMPBELL COLIN GOETZ | CHAIRMAN OF THE BOARD; DIRECTOR | — |
| ROCKEFELLER DAVID JR | CHAIRMAN OF THE BOARD; DIRECTOR | — |
| O'NEILL PETER COLEMAN | DIRECTOR | — |
| GRUMBACH ANTONIA M | TRUSTEE | — |
| MUELLER PAULA JEAN | VICE PRESIDENT, SECRETARY & GENERAL COUNSEL | — |
| BEINECKE CANDACE KRUGMAN | DIRECTOR | — |
| STERN MARC IRWIN | DIRECTOR | — |
| DAVIS JEFFREY PARKER | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER AND MANAGING DIRECTOR | — |
| SHAPARD AUSTIN VICTOR | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER; PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER (+1 more) | — |


## Private funds (39)

Mix: Other Private Fund 32 · Hedge Fund 4 · Private Equity Fund 1 · Venture Capital Fund 2

_Showing 15 of 39 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| ROCKEFELLER BALANCED FUND | Other Private Fund | — | 50 | $373.3M | $100K |
| ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. | Other Private Fund | — | 133 | $246.0M | $100K |
| ROCKEFELLER GLOBAL EQUITY FUND II QP LP | Other Private Fund | — | 120 | $215.4M | $100K |
| ROCKEFELLER INTERNATIONAL EQUITY FUND II LP | Other Private Fund | — | 28 | $157.1M | $100K |
| 5500 FUND LP | Other Private Fund | — | 42 | $155.2M | $100K |
| LIBRA FOSSIL FUEL FREE FUND, LP | Other Private Fund | — | 56 | $129.5M | $500K |
| ROCKEFELLER ACCESS FUND 06-I LLC | Other Private Fund | — | 89 | $116.8M | $500K |
| ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP | Other Private Fund | — | 63 | $108.5M | $100K |
| ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND LP | Other Private Fund | — | 86 | $99.5M | $100K |
| ROCKEFELLER GLOBAL EQUITY FUND I LP | Other Private Fund | — | 35 | $85.6M | $100K |
| LIBRA FUND QP, LP | Other Private Fund | — | 24 | $83.4M | $500K |
| ROCKEFELLER GLOBAL EQUITY FUND II LP | Other Private Fund | — | 91 | $81.3M | $100K |
| ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. | Other Private Fund | — | 86 | $78.8M | $100K |
| ROCKEFELLER U.S. EQUITY FUND II LP | Other Private Fund | — | 9 | $69.6M | $100K |
| FLP024 | Other Private Fund | — | 3 | $66.9M | — |


## Fund service providers (1)

- administrator: ROCKIT SOLUTIONS LLC — 38 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/106264/brochure
- Similar advisers: https://search.stillhousedata.com/firm/106264/similar
- Related entities: https://search.stillhousedata.com/firm/106264/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/106264

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.