wealth management

Wealth brings freedom. And complexity. At Rockefeller & Co., we understand the varied and disparate service needs of ultra high net worth individuals and families. That’s why we draw from the full range of wealth management services to meet your complex needs.

planning and advice
First, we meet with you to determine your aspirations, needs and risk profile. Then, we match you with the right team, which can include a senior team leader, portfolio manager, client accountant and trust officer, to help you reach your goals.

By choosing Rockefeller & Co. to manage all or part of your portfolio, you have a committed partner on your financial journey. However far you wish to go. We will provide strategic financial planning from our own investment experts and trusted external advisors. We’ll oversee the assets we manage as well as those managed by outside advisors. What’s more, our proprietary, sophisticated, and time-tested reporting technology lets us produce customized, consolidated financial reports for your internal and external investment managers and portfolios. 

investment planning
At Rockefeller & Co., we know portfolio management is only one aspect of total wealth management.  For example, you may have a large, single-position stock portfolio in need of diversification. You may have undergone a transitional event that produced significant liquidity. Or you may simply wish to develop a collaborative plan to augment the services provided by your primary advisor.  We can help.  Our Wealth Management team of professionals is experienced in designing investment strategies built around your unique circumstances.  These include:

• Tax implications
• Trust structures
• Risk aversion/acceptance
• Income and growth requirements
• Diversification
• Low cost basis stock
• Current investments
• Time horizon
• Changes in family situations

Once we have designed an investment strategy for you, our professionals deploy your assets thoughtfully and effectively. We are skilled in rebalancing portfolios, making tactical allocations and executing an investment program to achieve results.

open architecture investment solutions
Open architecture investment solutions at Rockefeller & Co. operate at three levels:

1. We tap into a comprehensive network of contacts for forward-looking, “big picture” market insights – and incorporate them into our clients’ investment and asset allocation plans.

2. We use knowledgeable, third-party input in recommending tactical movement of assets to pursue opportunities and minimize potential risks.

3. We constantly search for, evaluate and monitor hundreds of third-party investment managers – many of whom are not widely accessible – to find the best fit for our clients.

Through open architecture, we can deliver:

access :: The investment expertise and relationships we’ve built over the years allow us direct access to elite managers, solutions and strategies. We firmly believe that intelligence and judgment applied to data and information dictates our success.

independence and unbiased advice :: Rockefeller & Co. does not accept commissions or placement fees in return for directing you to a particular third party organization’s approach, strategy or services. We do not “channel” client assets toward specific alternative asset funds of funds or other vehicles that produce higher fees for us as your primary advisor. We are dedicated solely to growing your wealth.

forward-looking and long-term approach :: While historical return analysis is important, we prefer a forward-looking approach. And we seek out external partners who share our philosophy that a generational – not a quarterly or annual – view produces better long-term results.

open-minded, flexible and evolving platform :: At Rockefeller & Co., we continue to analyze our open architecture program as it grows; as global markets change and evolve; and as talented professionals become available in the marketplace. By thinking “outside the black box” and being willing to go against the grain, we aim to unearth opportunities that can add value to your portfolio. 

integrated tax and financial planning :: Whether you are an ultra high net worth individual, or whether the portfolio involved is a trust, foundation, endowment or family investment vehicle, we offer a comprehensive range of tax compliance and planning services. These include:

• Preparing quarterly and annual tax estimates and returns
• Developing and implementing income, gift and estate-planning strategies
• Coordinating with legal, investment and philanthropic advisors
• Budgeting and cash flow planning
• Coordinating financial arrangements and other personalized services

Our dedicated tax professionals have extensive experience in helping clients analyze tax implications, and can help you plan accordingly.  

trusts and estates services
Because of our firm’s heritage, we are particularly attuned to the needs of families managing wealth transfer across generations. We understand the nuances of administering long-term trusts and the role that education and mentoring play in helping children and grandchildren to manage the responsibilities of wealth. 

As a corporate fiduciary, we offer impartiality and objectivity in administering payments. We are experienced and flexible when working with individual co-trustees or outside advisors.

Our subsidiaries, The Rockefeller Trust Company (New York) and The Rockefeller Trust Company (Delaware) deliver a cost-effective full range of trust and estate services, including:

• Professional investment of assets
• Recordkeeping of fiduciary assets
• Income and principal payments to beneficiaries
• Payment of taxes and expenses
• Documentation of discretionary actions
• Trust, tax, accounting and compliance services
• Regular, detailed trust review
• Estate settlement services

reporting capabilities
We understand the critical role that timely, correct and accessible reporting plays in creating trust and transparency with clients.  That’s why we have used our experience and insight to develop proprietary, sophisticated Information Management solutions that address both present issues and potential future needs of our clients.