ROCKEFELLER & CO. LLC

ROCKEFELLER & CO. LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 294197). Regulatory assets under management: $36.8B.

Registration

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)

NameRoleLocation
Wendy Wong-TsangCHIEF COMPLIANCE OFFICERStamford, CT
Gregory James FlemingPRESIDENT & CHIEF EXECUTIVE OFFICERRedwood City, CA
Alison Thomas SchachterCHIEF FINANCIAL OFFICER
Ashley MccarthyCHIEF OPERATING OFFICER
Patricia Anne SolfaroCHIEF LEGAL OFFICER
Ole Andreas HalvorsenLIMITED PARTNER
David Christopher OttLIMITED PARTNER
Edmond Nicholas MoriartyCHIEF OPERATING OFFICER
William Joseph FenrichSECRETARY
Timothy Joseph MccarthyCHIEF COMPLIANCE OFFICER AND CHIEF COUNSEL
FLEMING GREGORY JAMESPRESIDENT & CHIEF EXECUTIVE OFFICER
MCCARTHY DENIS JOSEPHCHIEF COMPLIANCE OFFICER AND CHIEF COUNSEL; CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY; CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY
RYAN JOHN FRANCISCHIEF ADMINISTRATIVE OFFICER; CHIEF OPERATING OFFICER
GARCIA YVETTE MARIEGENERAL COUNSEL & SECRETARY
MORIARTY EDMOND NCHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER
HALVORSEN OLE ANDREASLIMITED PARTNER; MEMBER
OTT DAVID CHRISTOPHERLIMITED PARTNER; MEMBER
EISENBERG JONATHANGENERAL COUNSEL & SECRETARY
FENRICH WILLIAM JOSEPHSECRETARY
SCHACHTER ALISON THOMASCHIEF FINANCIAL OFFICER
SINGH HARDITCHIEF OPERATING OFFICER
MCCARTHY TIMOTHYCHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY
Schachter AlisonCHIEF FINANCIAL OFFICER
MORIARTY EDMOND NICHOLASCHIEF OPERATING OFFICER

Disclosures (6)

InitiatedTypeAllegationsStatusAmount
2023-04-17regulatoryROCKEFELLER & 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)

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

Showing 15 of 39 funds by gross asset value.

FundTypeFormedOwnersGross asset valueMin investment
VANTAGEROCK CAPITAL MASTER FUND LPHedge FundCayman Islands1,038$1.4B$1.0M
TITAN SPACE FUND LPPrivate Equity FundDelaware308$632.8M$250K
ROCKEFELLER BALANCED FUND, LPOther Private FundNew York43$244.5M$100K
ROCKEFELLER PRIVATE EQUITY SELECT OPPORTUNITIES FUND I-A LPPrivate Equity FundDelaware360$235.9M$5.0M
LIBRA FOSSIL FUEL FREE FUND, LPOther Private FundDelaware55$199.7M$500K
TITAN TECH PIONEERS LPPrivate Equity FundDelaware607$198.9M$250K
ROCKEFELLER ACCESS FUND 2015, LLCOther Private FundDelaware105$115.0M$500K
ICG SE V TITAN CO-INVESTMENT ACCESS FUND LPOther Private FundDelaware261$104.9M$250K
TITAN FALCONS LP (F/K/A SPEARHEAD FALCONS LP)Private Equity FundDelaware43$99.0M$1.0M
LIBRA FUND QP, LPOther Private FundDelaware22$95.4M$500K
ROCKEFELLER ACCESS FUND 06-I, LLCOther Private FundDelaware94$93.4M$500K
ROCKEFELLER PRIVATE EQUITY PARTNERS II, LLCOther Private FundDelaware70$83.5M$250K
ROCKEFELLER U.S. EQUITY FUND II LPOther Private FundDelaware7$77.2M$100K
ROCKEFELLER IGIPE INTERNATIONAL HOLDINGS LPOther Private FundCayman Islands1$70.0M$70.0M
ROCKEFELLER FINTECH INNOVATION FUND I LPPrivate Equity FundDelaware123$63.1M$250K

Branch offices (102)

Showing 15 of 102 offices.

CityStateEmployeesPhone
CONSHOHOCKENPA324842092030
CONSHOHOCKENPA324842092030
SARATOGA SPRINGSNY16518-587-7600
SARATOGA SPRINGSNY16518-587-7600
HAMILTONNJ14212-549-5100
HAMILTONNJ14212-549-5100
OAK BROOKIL12630-575-2300
OAK BROOKIL12630-575-2300
NEWPORT BEACHCA10212-549-5100
NEWPORT BEACHCA10212-549-5100
BOSTONMA8617-375-3300
BOSTONMA8617-375-3300
NEWTOWNPA72125495100
LOS ANGELESCA72125495100
NEWTOWNPA72125495100

Fund service providers (8)

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