Rockefeller

Asset Management

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)