# ROCKEFELLER & CO. LLC

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

## Registration

- CRD: 294197
- Type: SEC-registered investment adviser
- SEC file number: 801-113009
- Location: 45 ROCKEFELLER PLAZA, FLOOR 5, NEW YORK, NY, 10111
- Phone: 212-549-5100
- Latest filing: 2026-03-31
- Regulatory AUM: $36.8B
- Discretionary AUM: $31.8B
- Non-discretionary AUM: $5.0B
- Clients: 602
- Accounts: 10,479

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other

## Officers, owners & control persons (24)

| Name | Role | Location |
| --- | --- | --- |
| Wendy Wong-Tsang | CHIEF COMPLIANCE OFFICER | Stamford, CT |
| Gregory James Fleming | PRESIDENT & CHIEF EXECUTIVE OFFICER | Redwood City, CA |
| Alison Thomas Schachter | CHIEF FINANCIAL OFFICER | — |
| Ashley Mccarthy | CHIEF OPERATING OFFICER | — |
| Patricia Anne Solfaro | CHIEF LEGAL OFFICER | — |
| Ole Andreas Halvorsen | LIMITED PARTNER | — |
| David Christopher Ott | LIMITED PARTNER | — |
| Edmond Nicholas Moriarty | CHIEF OPERATING OFFICER | — |
| William Joseph Fenrich | SECRETARY | — |
| Timothy Joseph Mccarthy | CHIEF COMPLIANCE OFFICER AND CHIEF COUNSEL | — |
| FLEMING GREGORY JAMES | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| MCCARTHY DENIS JOSEPH | CHIEF COMPLIANCE OFFICER AND CHIEF COUNSEL; CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY; CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | — |
| RYAN JOHN FRANCIS | CHIEF ADMINISTRATIVE OFFICER; CHIEF OPERATING OFFICER | — |
| GARCIA YVETTE MARIE | GENERAL COUNSEL & SECRETARY | — |
| MORIARTY EDMOND N | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER | — |
| HALVORSEN OLE ANDREAS | LIMITED PARTNER; MEMBER | — |
| OTT DAVID CHRISTOPHER | LIMITED PARTNER; MEMBER | — |
| EISENBERG JONATHAN | GENERAL COUNSEL & SECRETARY | — |
| FENRICH WILLIAM JOSEPH | SECRETARY | — |
| SCHACHTER ALISON THOMAS | CHIEF FINANCIAL OFFICER | — |
| SINGH HARDIT | CHIEF OPERATING OFFICER | — |
| MCCARTHY TIMOTHY | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | — |
| Schachter Alison | CHIEF FINANCIAL OFFICER | — |
| MORIARTY EDMOND NICHOLAS | CHIEF OPERATING OFFICER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-04-17 | regulatory | ROCKEFELLER & CO LLC WAS FINED BY THE SOUTH KOREAN FINANCIAL SERVICES COMMISSION ("FSC") FOR THE VIOLATION OF KOREAN SHORT SELLING RESTRICTION UNDER ARTICLE 180 (1) OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. TRADE ERROR RESULTED IN AN INADVERTENT SHORT POSITION AND PROMPTLY COVERE… | Final | $200K |


## Private funds (39)

Mix: Other Private Fund 29 · Hedge Fund 1 · Private Equity Fund 8 · Venture Capital Fund 1

_Showing 15 of 39 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| VANTAGEROCK CAPITAL MASTER FUND LP | Hedge Fund | Cayman Islands | 1,038 | $1.4B | $1.0M |
| TITAN SPACE FUND LP | Private Equity Fund | Delaware | 308 | $632.8M | $250K |
| ROCKEFELLER BALANCED FUND, LP | Other Private Fund | New York | 43 | $244.5M | $100K |
| ROCKEFELLER PRIVATE EQUITY SELECT OPPORTUNITIES FUND I-A LP | Private Equity Fund | Delaware | 360 | $235.9M | $5.0M |
| LIBRA FOSSIL FUEL FREE FUND, LP | Other Private Fund | Delaware | 55 | $199.7M | $500K |
| TITAN TECH PIONEERS LP | Private Equity Fund | Delaware | 607 | $198.9M | $250K |
| ROCKEFELLER ACCESS FUND 2015, LLC | Other Private Fund | Delaware | 105 | $115.0M | $500K |
| ICG SE V TITAN CO-INVESTMENT ACCESS FUND LP | Other Private Fund | Delaware | 261 | $104.9M | $250K |
| TITAN FALCONS LP (F/K/A SPEARHEAD FALCONS LP) | Private Equity Fund | Delaware | 43 | $99.0M | $1.0M |
| LIBRA FUND QP, LP | Other Private Fund | Delaware | 22 | $95.4M | $500K |
| ROCKEFELLER ACCESS FUND 06-I, LLC | Other Private Fund | Delaware | 94 | $93.4M | $500K |
| ROCKEFELLER PRIVATE EQUITY PARTNERS II, LLC | Other Private Fund | Delaware | 70 | $83.5M | $250K |
| ROCKEFELLER U.S. EQUITY FUND II LP | Other Private Fund | Delaware | 7 | $77.2M | $100K |
| ROCKEFELLER IGIPE INTERNATIONAL HOLDINGS LP | Other Private Fund | Cayman Islands | 1 | $70.0M | $70.0M |
| ROCKEFELLER FINTECH INNOVATION FUND I LP | Private Equity Fund | Delaware | 123 | $63.1M | $250K |


## Branch offices (102)

_Showing 15 of 102 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| CONSHOHOCKEN | PA | 32 | 4842092030 |
| CONSHOHOCKEN | PA | 32 | 4842092030 |
| SARATOGA SPRINGS | NY | 16 | 518-587-7600 |
| SARATOGA SPRINGS | NY | 16 | 518-587-7600 |
| HAMILTON | NJ | 14 | 212-549-5100 |
| HAMILTON | NJ | 14 | 212-549-5100 |
| OAK BROOK | IL | 12 | 630-575-2300 |
| OAK BROOK | IL | 12 | 630-575-2300 |
| NEWPORT BEACH | CA | 10 | 212-549-5100 |
| NEWPORT BEACH | CA | 10 | 212-549-5100 |
| BOSTON | MA | 8 | 617-375-3300 |
| BOSTON | MA | 8 | 617-375-3300 |
| NEWTOWN | PA | 7 | 2125495100 |
| LOS ANGELES | CA | 7 | 2125495100 |
| NEWTOWN | PA | 7 | 2125495100 |


## Fund service providers (8)

- administrator: THE NORTHERN TRUST COMPANY — 24 funds
- administrator: ROCKIT SOLUTIONS, LLC — 7 funds
- administrator: HEDGESERV — 2 funds
- administrator: HEDGESERV LLC — 2 funds
- administrator: APEX FUND SERVICES (CHARLOTTE) LLC
- administrator: NORTHERN TRUST COMPANY
- administrator: NORTHERN TRUST HEDGE FUND SERVICES
- administrator: SS&C FUND SERVICES (ASIA) PTE. LTD.

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/294197/brochure
- Similar advisers: https://search.stillhousedata.com/firm/294197/similar
- Related entities: https://search.stillhousedata.com/firm/294197/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/294197

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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.