Investment adviser · CRD 106264

ROCKEFELLER & CO., INC.

Investment adviser filing (IA)

ROCKEFELLER & CO., INC

NEW YORK, NY, United States · Form ADV filed Mar 29, 2018

Regulatory AUM: $15.8B
Client accounts: 2,731
Employees: 159
Advisory professionals: 64

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	446	$4,581,197,841	29.0%
Banks & thrifts	Fewer than 5	$3,978,833,868	25.2%
Pooled investment vehicles	42	$3,585,331,945	22.7%
Investment companies	6	$1,217,452,993	7.7%
Charities	79	$1,186,296,240	7.5%
Sovereign wealth & foreign institutions	Fewer than 5	$517,243,290	3.3%
Government entities	Fewer than 5	$391,507,686	2.5%
Insurance companies	Fewer than 5	$219,055,644	1.4%
Individuals	268	$75,033,090	0.5%
Retirement plans	Fewer than 5	$43,837,644	0.3%
Corporations & businesses	6	$13,511,479	0.1%

Filing source

Form ADV 1201873 · Mar 29, 2018 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

50+ Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

Browse the first 49 funds across 7 pages.

ROCKEFELLER BALANCED FUNDOther Private Fund · Last reported Mar 29, 2018$373MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-3793990842
Reported beneficial owners: 50
Minimum commitment: $100K

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P.Other Private Fund · Last reported Mar 29, 2018$246MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-6182530922
Reported beneficial owners: 133
Minimum commitment: $100K
Form D file number: 021-173674

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROCKEFELLER GLOBAL EQUITY FUND II QP LPOther Private Fund · Last reported Mar 29, 2018$215MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-9740106610
Reported beneficial owners: 120
Minimum commitment: $100K

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROCKEFELLER INTERNATIONAL EQUITY FUND II LPOther Private Fund · Last reported Mar 29, 2018$157MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-6268495307
Reported beneficial owners: 28
Minimum commitment: $100K

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

5500 FUND LPOther Private Fund · Last reported Mar 29, 2018$155MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-9358828681
Reported beneficial owners: 42
Minimum commitment: $100K

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LIBRA FOSSIL FUEL FREE FUND, LPOther Private Fund · Last reported Mar 29, 2018$129MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-5486035751
Reported beneficial owners: 56
Minimum commitment: $500K
Form D file number: 021-271468

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROCKEFELLER ACCESS FUND 06-I LLCOther Private Fund · Last reported Mar 29, 2018$117MGross asset value

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States

Custodian STATE STREET BANK AND TRUST COMPANY QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-8664410874
Reported beneficial owners: 89
Minimum commitment: $500K

Form ADV 1201873 · Mar 29, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 29, 2018. View historical filings

Reported services

Financial planning · Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

10 ROCKEFELLER PLAZA, 3RD FLOOR
NEW YORK, NY, 10020, United States

CRD 106264

Filing source

Form ADV 1201873 · Mar 29, 2018 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.