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. AS USED HEREIN, ROCKEFELLER CAPITAL MANAGEMENT MEANS ROCKEFELLER CAPITAL MANAGEMENT L.P. AND ITS AFFILIATES.

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 Capital Management or any affiliate to any registration requirement within such jurisdiction or country. This Website is operated by Rockefeller Capital Management 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 Capital Management 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 they 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 Capital Management 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 Capital Management and its affiliates harmless from and against any claims for damages arising from any decisions that you may make based on such information.

Copyrights, Trademarks 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 Capital Management and its affiliates, except as otherwise stated. The compilation (meaning the collection, arrangement, and assembly) of all Content on the Website is the exclusive property of Rockefeller Capital Management 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 Capital Management.

No Warranty and Limitation on Liability; Communications Are Not Confidential

The information and materials contained on this Website are provided “AS IS” and Rockefeller Capital Management 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. The information and materials on this Website may contain typographical errors or inaccuracies. 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 Capital Management 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 Capital Management 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 Capital Management IN NO EVENT WILL ROCKEFELLER CAPITAL MANAGEMENT BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION, DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, PUNITIVE 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 CAPITAL MANAGEMENT OR ITS AFFILIATE AND 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 Capital Management, which makes no warranties, either express or implied 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. Links to unaffiliated websites do not imply any endorsement of or responsibility for the opinions, ideas, products, information, or services offered at such sites, or any representation regarding the content at such sites and we expressly disclaim any such endorsement or representation. In addition, third party websites may have a privacy policy or security practices different from this Website so it is important to read the policies of those sites before sharing your personal information. You hereby waive any claim you might have against Rockefeller Capital Management 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 Capital Management’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 Capital Management’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 Capital Management’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 Capital Management 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 Capital Management. If you are a client, please send any electronic communications directly to your Client Advisor.

Legal Entity Disclosure

Rockefeller Capital Management is the marketing name for Rockefeller Capital Management L.P. and its affiliates. Investment advisory and fiduciary activities are performed by the following affiliates of Rockefeller Capital Management: Rockefeller & Co., Inc., Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). Rockefeller Asset Management and Rockefeller Global Family Office are divisions of Rockefeller & Co., Inc.

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Privacy Statement

Privacy Policy

Rockefeller Capital Management and its affiliates (Rockefeller & Co., Inc., Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware) and the investment vehicles they manage or administer) (collectively, “Rockefeller Capital Management”) 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 Capital Management 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.

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Terms of Use

Overview

Rockefeller Capital Management serves individuals, families, and institutional investors whose focus on alpha generation requires an experienced partner with a demonstrable investment history. With more than 30 years of experience in global investing, we pair our distinctive worldview and long-term horizon with thorough research. Rockefeller Asset Management1 offers strategies whose performance over multiple market cycles, is driven by a disciplined process and our collaborative culture.

1Rockefeller Asset Management is a division of Rockefeller Capital Management, and the "Firm" for purposes of the Global Investment Performance Standards (“GIPS®”).

We offer the following strategies:

Equity Strategies

Rockefeller Asset Management is guided by the following core investment beliefs in its investing approach, and has followed these tenets for decades:

  • - Market inefficiencies generally occur when investors:
    • Focus too much on short-term results
    • Lack a global perspective
    • Maintain behavioral biases, especially during periods of market extremes
  • - Investment results are built on a long-term horizon, coupled with a global research framework and unbiased fundamental analysis

Our commitment to a respectful culture that encourages diversity and intense collaboration differentiates Rockefeller Asset Management as a firm. We believe the stability of our organization and the continuity of our investment professionals has been a key advantage to implementing our philosophy.

We’re not constrained by geography. We seek opportunities on behalf of our clients and do not replicate an index.

– David P. Harris, CFA
Chief Investment Officer

The investment team’s approach to equities involves an analysis of prospective investments from the bottom up. Their fundamental analysis goes deeper than standard cash flow models, divisional analysis, and competitive evaluations. The team conducts their own proprietary research, which includes research trips and direct interactions with company executives. Our collaborative culture and the preparedness and breadth of our research and analyses allows us to invest in ways that seek to take advantage of temporary market dislocations after thoroughly and patiently vetting a stock selection.

Our fundamental research process gathers both qualitative and quantitative data in seeking to identify companies with consistent growth, high returns on capital, and established barriers to competition.

Proprietary Investment Strategies (performance inception date):

Global Equity Strategy (1993)

Global ESG Equity Strategy (1991)

Global Dividend Growth Equity Strategy (2010)

Non-U.S. Equity Strategy (1998)

U.S. Large Cap Equity Strategy (1998)

U.S. Small Cap Equity Strategy (1989)

Multi-Asset Class Strategy (1989)

Fixed Income Strategies

Rockefeller Capital Management takes a thoughtful and prudent view to managing credit risk and interest rate risk in seeking to provide stability for our fixed income strategies. For taxable fixed income investments, we focus on investment grade bonds. Meanwhile, our tax-exempt security investments maintain a focus on higher quality municipal bonds backed by solid collateral.

Rockefeller Capital Management’s fixed income strategies seek to generate current income and preserve principal. Rockefeller Capital Management’s fixed income strategies consist of bonds, identified and vetted by our top-down and bottom-up research principles. Our fixed income team interacts with and shares the broad investment perspective of Rockefeller Asset Management’s senior investment professionals and our equity team.

Fixed Income Strategies

Core Taxable Fixed Income Strategy (1997)

Tax Exempt Fixed Income - New York Strategy (1989)

Tax Exempt Fixed Income - National Strategy (1989)

Short-Term Taxable Fixed Income Strategy (2012)

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