Terms of Use

Important Information

PLEASE READ THE ENTIRE TERMS OF USE CAREFULLY BEFORE YOU USE THIS WEBSITE. IF YOU DO NOT AGREE TO ALL OF THESE TERMS OF USE, DO NOT ACCESS THIS WEBSITE, OR ANY OF ITS PAGES. BY USING THIS WEBSITE, AND WHETHER OR NOT YOU ACTUALLY READ THESE TERMS OF USE, YOU ARE DEEMED TO HAVE ACCEPTED THEM. WE MAY MODIFY OUR TERMS OF USE OF THIS WEBSITE AT ANY TIME AND WITHOUT NOTICE. OUR FAILURE TO EXERCISE OR ENFORCE ANY RIGHT OR PROVISION OF THESE TERMS OF USE WILL NOT CONSTITUTE A WAIVER OF SUCH RIGHT OR PROVISION.

You are strictly prohibited from unauthorized use of our systems or this Website, including but not limited to unauthorized entry into our systems, misuse of passwords, or misuse of any information posted on this Website.

Use of this Website may be monitored, tracked and recorded. Anyone using this Website expressly consents to such monitoring, tracking and recording. You are responsible for being familiar with the current version of the Terms of Use posted on the Website during each session.

You may use this Website only in compliance with these Terms and all applicable local, state, national and international laws, rules and regulations.

Use of this Website is Limited to Residents of the United States; New York Law Governs

The information provided on this Website is not intended for distribution to, or use by any person or entity not resident in the United States, or in any jurisdiction where such distribution or use would be contrary to law or regulation or which would subject Rockefeller & Co., Inc. or any affiliate to any registration requirement within such jurisdiction or country. This Website is operated by Rockefeller & Co., Inc. from its offices in the United States, and the information on this Website may not be appropriate or available for use in or from jurisdictions outside the United States. Those who choose to access this Website from other locations do so on their own initiative and are responsible for compliance with applicable local laws. Rockefeller & Co., Inc. makes no warranties that materials on this Website are appropriate for use in countries other than the United States. You may not use or export the materials on this Website in violation of U.S. export laws and regulations.

These Terms of Use, and any issues relating to the information available on this Website, are to be governed exclusively by the laws of the State of New York, excluding the application of its conflicts of law rules, and the federal laws of the United States, to the extent applicable. The use of this Website constitutes your irrevocable agreement that the federal and state courts located in New York City, New York have the sole and exclusive jurisdiction over any dispute relating to this Website and the information contained in it.

Material to be Consulted in its Entirety; Severability

All materials on this Website are meant to be reviewed in their entirety, including any footnotes, legal disclaimers, restrictions, disclosures, or hedge clauses, they apply to any partial document or material in the same manner as they do to the whole, and will be deemed incorporated in the portion of any material or document that you consult or download. If any provision of these Terms of Use is deemed unlawful, void, or for any reason unenforceable, then that provision will be deemed severable from these terms and will not affect the validity and enforceability of the remaining provisions.

No Investment, Legal or Tax Advice; No Solicitation or Offer

This Website and its content are for informational purposes only. Neither the information nor any opinion contained on this Website constitutes legal, tax or investment advice, or a solicitation or an offer to sell any securities or other financial instruments, or to provide any investment advice or service. Rockefeller & Co., Inc. is not using this Website to provide legal, tax, investment or other advice, and no information or material on this Website may be relied upon for the purpose of making or communicating investment or other decisions. Any decisions based on information contained in this Website are the sole responsibility of the user, and in exchange for using this Website, you agree to hold Rockefeller & Co., Inc. and its affiliates harmless from and against any claims for damages arising from any decisions that you may make based on such information.

Copyrights and Restrictions on the Use of Materials

You acknowledge and agree that this Website contains “Content” (including information, data, software, photographs, graphics, text, images, logos, icons, typefaces, audio and video material, and other material) that is protected by copyrights, trademarks, or other proprietary rights, and that these rights are valid and protected in all forms, media, and technologies existing now or later developed. The Content is the property of Rockefeller & Co., Inc. and its affiliates or of their respective suppliers or licensors. The compilation (meaning the collection, arrangement, and assembly) of all Content on the Website is the exclusive property of Rockefeller & Co., Inc. and is protected by U.S. and international copyright and trademark laws. You may not copy, modify, remove, delete, augment, add to, publish, transmit, participate in the transfer, license or sale of, create derivative works from, or in any way exploit any of the Content, in whole or in part, except as specifically permitted herein. If no specific restrictions are displayed, you may make one copy of select portions of the Content, provided that (1) the copy is made only for your personal information and non-commercial use, (2) you do not alter or modify the Content in any way, and (3) you maintain any notices contained in the Content, such as all copyright notices, trademark legends, or other proprietary rights notices. Except as provided in the preceding sentence or as permitted by the fair use privilege under U.S. copyright laws, you may not upload, post, reproduce, perform, or distribute any Content in any way without obtaining the express permission of Rockefeller & Co., Inc.

No Warranty and Limitation on Liability; Communications Are Not Confidential

The information and materials contained on this Website are provided “as is” and Rockefeller & Co., Inc. does not warrant the accuracy, adequacy, or completeness of any such information or materials, and expressly disclaims liability for errors or omissions in such information and materials. Any dated information is published as of its date only, and we do not undertake any obligation or responsibility to update or amend any such information. No warranty of any kind, implied, express or statutory, including but not limited to the warranties of non-infringement of third party rights, title, merchantability, fitness for a particular purpose and freedom from computer virus, is given in conjunction with the information and materials.

Rockefeller & Co., Inc. does not warrant that use of the Website will be uninterrupted or error-free. Users are responsible for taking all precautions necessary to ensure that any information and materials they may obtain from or through this Website is free of viruses and other disabling contamination. Information submitted to this Website should be considered neither secure nor confidential. Rockefeller & Co., Inc. makes no representation whatsoever concerning the security or confidentiality of such information and specifically makes no representation that any information submitted through this Website will be received by Rockefeller & Co., Inc. IN NO EVENT WILL ROCKEFELLER & CO., INC. BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION, DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, or CONSEQUENTIAL DAMAGES, LOSSES, OR EXPENSES ARISING IN CONNECTION WITH THIS WEBSITE OR ITS USE, OR THE INABILITY TO USE, BY ANY PARTY, OR IN CONNECTION WITH ANY FAILURE OF PERFORMANCE, ERROR, OMISSION, INTERRUPTION, DEFECT, DELAY IN OPERATION OR TRANSMISSION, COMPUTER VIRUS OR LINE OR SYSTEM FAILURE, EVEN IF ROCKEFELLER & CO., INC. OR ITS REPRESENTATIVES, ARE ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES.

Use of Links

Use of any links contained on this Website is at your own risk. The content to which you link has not been developed, checked for accuracy or otherwise reviewed by Rockefeller & Co., Inc., which makes no guarantees or representations as to, and shall have no liability for, any third-party Website or content, including without limitation, the accuracy, subject matter, quality or timeliness of any electronic content. You hereby waive any claim you might have against Rockefeller & Co., Inc. and its affiliates with respect to such other Websites.

Website Security and Restrictions on Use

As a condition to your use of this Website, you agree that you will not, and you will not take any action intended to: (i) access data that is not intended for you; (ii) invade the privacy of, obtain the identity of, or obtain any personal information about any other user of this Website; (iii) probe, scan or test the vulnerability of this Website or Rockefeller & Co., Inc.’s network or breach security or authentication measures; (iv) attempt to interfere with service to any user, host, or network or otherwise attempt to disrupt Rockefeller & Co., Inc.’s business; or (v) send unsolicited mail, including promotions and/or advertising of products and services. Unauthorized use of the Website, including but not limited to unauthorized entry into Rockefeller & Co., Inc.’s systems, misuse of passwords, or misuse of any information posted to a Website, is strictly prohibited. Portions of the Website are designated for password access only. In these instances, if you do not have an authorized password, no access is permitted.

Confidentiality and Password Security

Certain parts of this Website may be protected by passwords or require a login. You are responsible for maintaining the confidentiality of any user names, passwords, security questions and answers. All information available through the privileged area of the site is confidential. This includes all investment information and results, offering materials and regulatory notices, financial statements, and other information provided through this part of the Website.

You will use your best efforts to keep this information strictly confidential. You will not disclose this information to any unauthorized person or use it for any unauthorized purpose.

Communications Are Not Confidential

Information submitted to this Website should not be considered secure or confidential, and Rockefeller & Co., Inc. makes no representations whatsoever concerning the security of confidentiality of such information and specifically makes no representation that any information submitted through this Website will be received by Rockefeller & Co., Inc. If you are a Rockefeller & Co., Inc. client, please send any electronic communications directly to your Client Advisor.

Related Links

Privacy Statement

Privacy Policy

Rockefeller & Co., Inc. and its affiliates (Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware) and the investment vehicles they manage or administer) are required by law to provide you with a description of our policies on collecting and protecting personally identifiable information as it relates to individual clients. Although we are complying with this law, you should know that this notice does not represent a change from what has always been our policy.

We know that you value your privacy, and so we do not disclose your personal information to unaffiliated third parties unless it is required or permitted by law (e.g., to a governmental authority), directed by you, or necessary to provide our services to you or on your behalf. We do not sell client personal information to anyone.

Rockefeller & Co., Inc. collects and maintains personal information so we can provide you with wealth and investment management, investment advisory, information management and family office services and manage our business. The types and categories of information we collect and maintain about you might include, for example:

  • Information we receive from you to open an account or provide investment advice or other services to you (such as your home address, email address, telephone number, social security number, financial and tax information and investment and estate planning goals);
  • Information about your transactions with us and others, or that we generate to service your account (such as trade confirmations and account statements); and
  • Information that we may receive from third parties with respect to your account (such as trade confirmations from brokerage firms, or bank statements or information from other financial services providers and advisors).

As stated above, unless required or permitted by law (e.g., to a governmental authority), we do not disclose personal information about our clients or former clients to nonaffiliated third parties except in order to enable us to provide our wealth and investment management, investment advisory, information management and family office services to you. Examples of such disclosures might include:

  • Disclosures to third parties in connection with furthering your investment goals (such as providing necessary information about you to facilitate your making investments or receiving services; examples of such third parties would include investment sub-advisors, custodial institutions and brokerage houses);
  • Disclosures to third parties needed to service your account (such as providing information to auditors and tax service providers); and
  • Disclosures to third parties, who themselves are subject to confidentiality requirements, that perform or provide services for us or on our behalf involving your account information (such as technology consultants who assist us in maintaining or operating our computer and duplicating systems).

We maintain policies and procedures directed towards preserving the privacy of the personal information that we collect and maintain. These safeguards are designed to assure the security and confidentiality of your records and personal information, to protect against foreseeable threats or hazards to the security of this information and to protect against its unauthorized use. These measures include:

  • Physical, electronic and procedural safeguards to keep personal information secure; and
  • Requiring third parties to whom disclosures of personal information are made to maintain the confidentiality of that information.

We may amend this policy at any time and as may be required by law.

Related Links

Terms of Use

Our Firm Defined

Rockefeller & Co. is a distinctive financial services firm that is privately held and independent.

Driven by

the intellectual soundness, creative acumen, and personal dedication of our people

Focused on

assessing investment opportunities through a global lens

Committed to

providing insightful solutions for the sophisticated needs of our clients

11/15/2016

About Rockefeller & Co.

10/3/2017

Thirty Years Later

06/30/2016

Rockefeller & Co. team members summarize the breadth of services available to non-profit clients.

Our Culture

Rockefeller & Co. is privately owned and focused on the diverse investment and financial needs of our sophisticated clientele. From our beginnings as the Rockefeller family office, we are today a full-service, independent asset management and wealth advisory firm, with a mission to help our clients achieve their goals.

As global citizens—with a geographically unconstrained approach to asset management—we know how important it is to perceive the world in its totality in seeking to benefit from the wealth of opportunities held therein. Our asset management team speaks 13 languages, an indication of the global perspective we apply to our business.

1882

John D. Rockefeller establishes a family office to manage his growing investment needs and the future needs of his family.

1882

1979

The family office incorporates under the name Rockefeller & Co., Inc. for the delivery of asset management and wealth advisory services.

1979

1980

Rockefeller & Co. registers with the U.S. Securities and Exchange Commission as an independent investment advisory firm.

1980

2012

Rockefeller Asset Management, a division of Rockefeller & Co., becomes a signatory to the United Nation’s Principles for Responsible Investment (PRI) Initiative pledging practices in line with support for global environmental, social, and governance issues.

2012

Today

Rockefeller & Co. has approximately $16.2 billion in assets under advisement for individuals and families, family offices, nonprofit organizations, foundations, endowments, and global institutions.1

1As of June 30, 2017. This number includes net assets under management of approximately $10.9 billion plus approximately $5.3 billion in advisory assets. Advised assets represent non-managed assets that receive services, such as financial planning, administration and/or consulting for open architecture programs or other assignments, consolidated reporting, and accounting and tax return preparation services.

CEO
Message

In this video, Reuben Jeffery III discusses Rockefeller & Co.’s commitment to service and stewardship. We pride ourselves on our client focus and the strong relationships we develop with individuals, families, and institutions.

Play Video

Our Leadership Team

Reuben Jeffery III is the President and Chief Executive Officer of Rockefeller & Co.  Reuben previously served seven years in the U.S. government in a variety of positions, including as Under Secretary of State for Economic, Energy and Agricultural Affairs and as Chairman of the U.S. Commodity Futures Trading Commission. He spent eighteen years at Goldman, Sachs & Co., where he was Managing Partner of the firm’s Paris office and of its European Financial Institutions Group in London. Before joining Goldman Sachs, Reuben worked as a corporate attorney with Davis Polk & Wardwell LLP. He received an M.B.A./J.D. from Stanford and a B.A. in Political Science from Yale. He is currently a member of the President’s Council on International Activities at Yale, a life member of the Council on Foreign Relations, a board member of the Financial Services Volunteer Corps and a Trustee of the Asia Foundation.  Reuben is a non-executive director of Barclays PLC, an advisory board member of Tower Brook Capital Partners LLP and a member of the International Advisory Committee of J. Rothschild Capital Management Limited.

Jimmy C. Chang, CFA is the Chief Investment Strategist, a Senior Portfolio Manager and a Managing Director of Rockefeller & Co., with oversight of the Fixed Income group. Prior to joining Rockefeller & Co. in 2004, Jimmy served as a Senior Vice President, Chief Technology Strategist and Senior Technology Analyst at the U.S. Trust Company of New York, where he led technology equity research and co-managed a technology fund. He previously served as a Senior Marketing Representative and an Advisory Systems Engineer at International Business Machines Corporation (IBM) from 1985 to 1994, where he was responsible for client relationship management, business volume and profit attainments at major international financial services and banking accounts. Jimmy is a Chartered Financial Analyst® charterholder. He received an M.B.A. in Finance/International Business from New York University and a B.S. (summa cum laude) in Electrical Engineering from The Cooper Union. He is a member of the Tau Beta Pi National Engineering Honor Society. Jimmy serves on the Investment Committee of the Foundation for Contemporary Arts.

Yvette M. Garcia is General Counsel, Chief Administrative Officer and a Managing Director of Rockefeller & Co.  She advises the Company on a broad range of legal, compliance and corporate governance matters, and oversees the Company’s human capital activities. She is a member of the Board of Directors of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). Prior to joining Rockefeller & Co. in 2001, Yvette was a Senior Associate in the Financial Services Group of Willkie, Farr & Gallagher, LLP, a New York law firm, where she specialized in the structuring of registered and private investment vehicles, as well as investment advisory and investment company matters.  Yvette received a J.D. from Fordham Law School and a B.A. in History and Political Science from New York University. She is a member of the Association of the Bar of the City of New York, the New York State Bar Association and the American Bar Association.  She serves on the Stein Scholars Alumni Advisory Board at Fordham Law School, and is a member of the Board of Governors of the Investment Adviser Association.

David P. Harris, CFA is the Chief Investment Officer and a Managing Director of Rockefeller & Co. David oversees the Investment Department in New York and has over 23 years with Rockefeller & Co. Previously, David was the Director of Equity Management, where he led the Global Equity Portfolio and the Equity Analyst Team.  David had also spent over 3 years with Stein Roe & Farnham, as Portfolio Manager of the Stein Roe International Fund and the Stein Roe Emerging Markets Fund.  David is a Chartered Financial Analyst ® charterholder and received an M.B.A. with Distinction in Finance from Cornell University and a B.A. in Economics from the University of Michigan. He serves on the Board of Trustees and Chairs the Investment Committee of St. Barnabas Hospital, the Advisory and Investment Committees of the Studio in a School Association, and the Board of Directors of Quarry Underwriting Assurance Limited.

Stuart Hendry is the Chief Operating Officer and a Managing Director of Rockefeller & Co. He is responsible for overseeing and coordinating operations and technology activities for the Company. Prior to joining Rockefeller & Co. in 2015, Stuart was the Managing Director and Head of Operations at Indus Capital Partners, LLC, a registered investment adviser.  He previously spent ten years with Bear Stearns Asset Management, where he held senior positions in operations and technology. Stuart received an M.B.A. from Fordham University and a B.A. from Ohio Wesleyan University.

Timothy J. McCarthy is the Chief Compliance Officer and Counsel and a Managing Director of Rockefeller & Co. Prior to joining Rockefeller & Co. in 2007, Tim was an associate in the financial services group of Dechert, LLP, an international law firm. Tim's major areas of practice include business and securities law, with a focus on private investment funds and investment adviser compliance. Tim received a J.D. from Brooklyn Law School and a B.A. in Economics from Fordham University.

Elizabeth P. Munson is the President of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). She is also a Managing Director and Senior Client Advisor of Rockefeller & Co. As an advisor to high-net-worth individuals, families and family offices, Liz specializes in trust and estate planning and philanthropic matters. Prior to joining Rockefeller & Co. in 2001, Liz was a partner in the Private Clients Group at White & Case, LLP, where she practiced from 1983. Liz received an L.L.M. in taxation from New York University School of Law, a J.D. from the Harvard Law School and a B.A. in English from Yale College. She is extensively involved in non-profit organizations, including positions as Board Chair of Lenox Hill Neighborhood House, Vice President and Secretary of Sheltering Arms Children and Family Services, Secretary of FWWB (Friends of Women’s World Banking)/USA, and Secretary of the Cancer Schmancer Foundation. She is also a director of CPA®17 and CPA®18, which are real estate investment trusts advised by WP Carey & Co. LLC.

Kara Valentine is Director of Marketing and a Senior Vice President of Rockefeller & Co. responsible for strategic marketing and brand strategy. Kara has over two decades of financial services marketing experience. Prior to joining Rockefeller & Co. in 2015, Kara led marketing and brand strategy for Dynasty Financial Partners. Prior to that, she held marketing leadership roles at U.S. Trust, Merrill Lynch and Morgan Stanley. Kara began her career as a media planner at Young & Rubicam and received a B.S. in Business Administration, Marketing from Villanova University. She serves on the Board of Trustees of the Oak Knoll School of the Holy Child in Summit, N.J.

Raymond N. Wareham is the Head of Wealth Advisory, a Senior Client Advisor and a Managing Director of Rockefeller & Co. Ray advises high net worth individuals, families and family offices, in addition to working on growth-oriented initiatives for the firm. Prior to joining Rockefeller & Co. in 2012, Ray was a Senior Managing Director for Bernstein Global Wealth Management. At Bernstein, he served in a number of roles, including as a senior portfolio manager and as head of the Wealth Management Group, which provided investment planning and asset allocation research and advice to clients. Most recently, he headed the Boston Office for the private client business. Ray previously spent twenty-four years at J.P. Morgan in corporate finance, M&A, and underwriting capacities in New York, London, and Tokyo. Ray received an M.B.A. from Harvard Business School and a B.S. in Industrial Engineering/Computer Science with distinction from Northwestern University.  He also served as a Lieutenant in the United States Navy. He is a former Trustee and Board Chair, and is a member of Heads Council at The Spence School in New York and currently is an advisor to The Stanley Isaacs Neighborhood Center.

David Westbrook is the Chief Financial Officer and a Managing Director of Rockefeller & Co. He is responsible for overseeing and coordinating the financial and risk management activities of the Company in support of our policies, goals and objectives. Prior to joining Rockefeller & Co. in 2011, David was the Chief Financial Officer at Silvercrest Asset Management Group, a registered investment adviser, where he was responsible for all corporate and fund functions. He previously spent 18 years with Deloitte & Touche LLP, where he last held the position of Audit Director in the asset management practice. David received a Post Graduate Diploma in Accounting and a Bachelor of Commerce from the University of KwaZulu-Natal in Durban, South Africa. David is a Certified Public Accountant in New York, Connecticut, New Jersey and Ohio, a Chartered Accountant in South Africa, and a Certified Information Systems Auditor.

Reuben Jeffery III is the President and Chief Executive Officer of Rockefeller & Co.  Reuben previously served seven years in the U.S. government in a variety of positions, including as Under Secretary of State for Economic, Energy and Agricultural Affairs and as Chairman of the U.S. Commodity Futures Trading Commission. He spent eighteen years at Goldman, Sachs & Co., where he was Managing Partner of the firm’s Paris office and of its European Financial Institutions Group in London. Before joining Goldman Sachs, Reuben worked as a corporate attorney with Davis Polk & Wardwell LLP. He received an M.B.A./J.D. from Stanford and a B.A. in Political Science from Yale. He is currently a member of the President’s Council on International Activities at Yale, a life member of the Council on Foreign Relations, a board member of the Financial Services Volunteer Corps and a Trustee of the Asia Foundation.  Reuben is a non-executive director of Barclays PLC, an advisory board member of Tower Brook Capital Partners LLP and a member of the International Advisory Committee of J. Rothschild Capital Management Limited.

Jimmy C. Chang, CFA is the Chief Investment Strategist, a Senior Portfolio Manager and a Managing Director of Rockefeller & Co., with oversight of the Fixed Income group. Prior to joining Rockefeller & Co. in 2004, Jimmy served as a Senior Vice President, Chief Technology Strategist and Senior Technology Analyst at the U.S. Trust Company of New York, where he led technology equity research and co-managed a technology fund. He previously served as a Senior Marketing Representative and an Advisory Systems Engineer at International Business Machines Corporation (IBM) from 1985 to 1994, where he was responsible for client relationship management, business volume and profit attainments at major international financial services and banking accounts. Jimmy is a Chartered Financial Analyst® charterholder. He received an M.B.A. in Finance/International Business from New York University and a B.S. (summa cum laude) in Electrical Engineering from The Cooper Union. He is a member of the Tau Beta Pi National Engineering Honor Society. Jimmy serves on the Investment Committee of the Foundation for Contemporary Arts.

Yvette M. Garcia is General Counsel, Chief Administrative Officer and a Managing Director of Rockefeller & Co.  She advises the Company on a broad range of legal, compliance and corporate governance matters, and oversees the Company’s human capital activities. She is a member of the Board of Directors of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). Prior to joining Rockefeller & Co. in 2001, Yvette was a Senior Associate in the Financial Services Group of Willkie, Farr & Gallagher, LLP, a New York law firm, where she specialized in the structuring of registered and private investment vehicles, as well as investment advisory and investment company matters.  Yvette received a J.D. from Fordham Law School and a B.A. in History and Political Science from New York University. She is a member of the Association of the Bar of the City of New York, the New York State Bar Association and the American Bar Association.  She serves on the Stein Scholars Alumni Advisory Board at Fordham Law School, and is a member of the Board of Governors of the Investment Adviser Association.

David P. Harris, CFA is the Chief Investment Officer and a Managing Director of Rockefeller & Co. David oversees the Investment Department in New York and has over 23 years with Rockefeller & Co. Previously, David was the Director of Equity Management, where he led the Global Equity Portfolio and the Equity Analyst Team.  David had also spent over 3 years with Stein Roe & Farnham, as Portfolio Manager of the Stein Roe International Fund and the Stein Roe Emerging Markets Fund.  David is a Chartered Financial Analyst ® charterholder and received an M.B.A. with Distinction in Finance from Cornell University and a B.A. in Economics from the University of Michigan. He serves on the Board of Trustees and Chairs the Investment Committee of St. Barnabas Hospital, the Advisory and Investment Committees of the Studio in a School Association, and the Board of Directors of Quarry Underwriting Assurance Limited.

Stuart Hendry is the Chief Operating Officer and a Managing Director of Rockefeller & Co. He is responsible for overseeing and coordinating operations and technology activities for the Company. Prior to joining Rockefeller & Co. in 2015, Stuart was the Managing Director and Head of Operations at Indus Capital Partners, LLC, a registered investment adviser.  He previously spent ten years with Bear Stearns Asset Management, where he held senior positions in operations and technology. Stuart received an M.B.A. from Fordham University and a B.A. from Ohio Wesleyan University.

Timothy J. McCarthy is the Chief Compliance Officer and Counsel and a Managing Director of Rockefeller & Co. Prior to joining Rockefeller & Co. in 2007, Tim was an associate in the financial services group of Dechert, LLP, an international law firm. Tim's major areas of practice include business and securities law, with a focus on private investment funds and investment adviser compliance. Tim received a J.D. from Brooklyn Law School and a B.A. in Economics from Fordham University.

Elizabeth P. Munson is the President of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). She is also a Managing Director and Senior Client Advisor of Rockefeller & Co. As an advisor to high-net-worth individuals, families and family offices, Liz specializes in trust and estate planning and philanthropic matters. Prior to joining Rockefeller & Co. in 2001, Liz was a partner in the Private Clients Group at White & Case, LLP, where she practiced from 1983. Liz received an L.L.M. in taxation from New York University School of Law, a J.D. from the Harvard Law School and a B.A. in English from Yale College. She is extensively involved in non-profit organizations, including positions as Board Chair of Lenox Hill Neighborhood House, Vice President and Secretary of Sheltering Arms Children and Family Services, Secretary of FWWB (Friends of Women’s World Banking)/USA, and Secretary of the Cancer Schmancer Foundation. She is also a director of CPA®17 and CPA®18, which are real estate investment trusts advised by WP Carey & Co. LLC.

Kara Valentine is Director of Marketing and a Senior Vice President of Rockefeller & Co. responsible for strategic marketing and brand strategy. Kara has over two decades of financial services marketing experience. Prior to joining Rockefeller & Co. in 2015, Kara led marketing and brand strategy for Dynasty Financial Partners. Prior to that, she held marketing leadership roles at U.S. Trust, Merrill Lynch and Morgan Stanley. Kara began her career as a media planner at Young & Rubicam and received a B.S. in Business Administration, Marketing from Villanova University. She serves on the Board of Trustees of the Oak Knoll School of the Holy Child in Summit, N.J.

Raymond N. Wareham is the Head of Wealth Advisory, a Senior Client Advisor and a Managing Director of Rockefeller & Co. Ray advises high net worth individuals, families and family offices, in addition to working on growth-oriented initiatives for the firm. Prior to joining Rockefeller & Co. in 2012, Ray was a Senior Managing Director for Bernstein Global Wealth Management. At Bernstein, he served in a number of roles, including as a senior portfolio manager and as head of the Wealth Management Group, which provided investment planning and asset allocation research and advice to clients. Most recently, he headed the Boston Office for the private client business. Ray previously spent twenty-four years at J.P. Morgan in corporate finance, M&A, and underwriting capacities in New York, London, and Tokyo. Ray received an M.B.A. from Harvard Business School and a B.S. in Industrial Engineering/Computer Science with distinction from Northwestern University.  He also served as a Lieutenant in the United States Navy. He is a former Trustee and Board Chair, and is a member of Heads Council at The Spence School in New York and currently is an advisor to The Stanley Isaacs Neighborhood Center.

David Westbrook is the Chief Financial Officer and a Managing Director of Rockefeller & Co. He is responsible for overseeing and coordinating the financial and risk management activities of the Company in support of our policies, goals and objectives. Prior to joining Rockefeller & Co. in 2011, David was the Chief Financial Officer at Silvercrest Asset Management Group, a registered investment adviser, where he was responsible for all corporate and fund functions. He previously spent 18 years with Deloitte & Touche LLP, where he last held the position of Audit Director in the asset management practice. David received a Post Graduate Diploma in Accounting and a Bachelor of Commerce from the University of KwaZulu-Natal in Durban, South Africa. David is a Certified Public Accountant in New York, Connecticut, New Jersey and Ohio, a Chartered Accountant in South Africa, and a Certified Information Systems Auditor.

Subscribe for updates

Send