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.

Related Links

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

Our Mission


We aim to be the premier financial advisory firm – to redefine and elevate the financial services experience through unparalleled client service and a commitment to excellence in all that we do.

The client experience is the centerpiece of our model. We empower individuals, families, institutions, and endowments to realize their aspirations and achieve their most important goals.

We do this by bringing the brightest minds together with energy, innovation, creativity, and passion to provide exceptional services, products, capabilities, and value that will enable our clients to achieve their financial and investment goals for generations to come.

Ultimately, we aspire to create an engine of excellence that delivers long-term value for our owners and other stakeholders and cultivates deeply engaging, lasting relationships with our clients, across our firm, and throughout our communities.

Firm Principles

The core foundation of Rockefeller Capital Management is delivering unrivaled client services. We will achieve excellence in an ethical framework that is sensitive to the world in which we operate.

    • 1
    • Client Stewardship
    • We are committed to providing an overall level of expertise that creates a truly differentiated result for our clients.


      Exemplary service across the full range of our clients’ needs is our paramount, unrelenting focus.

    • 2
    • Excellence as the Ideal
    • We will continue to build on the tremendous legacy and foundation provided to us by the Rockefeller family.


      We will consistently strive for excellence in all that we do.

    • 3
    • Integrity as
      the Baseline
    • We have an unwavering commitment to operating with integrity, trust, and sincerity at all times.


      We will strive to ensure that our employees, clients and communities are proud of the Firm, its history, legacy, reputation, and all that it stands for.

    • 4
    • Employee Growth
      & Development
    • We will inspire our employees through a shared vision of excellence as the ideal, the client as the centerpiece of our efforts, and a bright future for all our constituents.


      We will treat one another with respect, embrace the diversity of our backgrounds, and create extensive collaboration and cross-pollination of ideas that allows us to anticipate our clients’ needs in ways others cannot.

    • 5
    • Community Citizenship
    • We will be a responsible partner, neighbor, volunteer, and citizen to the communities where we live and work.


      We will help our employees in fulfilling their career aspirations and be mindful of our role in helping balance their family, community and other non-professional obligations.

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. 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

2018

Gregory J. Fleming assumes the role of Chief Executive Officer of Rockefeller Capital Management.

2018

Today

Rockefeller Capital Management has approximately $17.9 billion in assets under advisement for individuals and families, family offices, nonprofit organizations, foundations, endowments, and global institutions.1

1As of June 30, 2018. This number includes net assets under management of approximately $12.5 billion plus approximately $5.4 billion in advisory assets. Advised assets represent non-managed assets that receive services, such as consulting for open architecture programs or other non-managed investment assignments.

Our Leadership Team

Gregory J. Fleming is the Chief Executive Officer of Rockefeller Capital Management, a role he has held since the firm, formerly known as Rockefeller & Co., launched in March 2018. Mr. Fleming is also a member of the Board of Directors.

Prior to leading Rockefeller Capital Management, Mr. Fleming was the President of Morgan Stanley Wealth Management and Morgan Stanley Investment Management. Before joining Morgan Stanley in 2010, he served as President and Chief Operating Officer of Merrill Lynch from 2007 to 2009, and previously ran Merrill Lynch’s Global Investment Banking business. Mr. Fleming joined Merrill Lynch as an investment banker in 1992. He had also been a principal at Booz Allen Hamilton.
Mr. Fleming is a director of Colgate University; a member of the Board of Advisors for the Yale Law School Center for the Study of Corporate Law, the Council on Foreign Relations and the Economic Club of New York; a director on Turn2 Foundation Board; a trustee at Deerfield Academy; and a member of the Ronald McDonald House Board of Directors. He serves as a Visiting Lecturer in Law and a Distinguished Visiting Fellow at the Center for the Study of Corporate Law at Yale Law School.

He is a Phi Beta Kappa, summa cum laude graduate in economics from Colgate University and received his J.D. from Yale Law School.

Jimmy C. Chang, CFA is the Chief Investment Strategist, a Senior Portfolio Manager and a Managing Director, with oversight of the Fixed Income group. Prior to joining Rockefeller in 2004, Mr. Chang 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. Mr. Chang 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. Mr. Chang serves on the Investment Committee of the Foundation for Contemporary Arts.

Jonathan Eisenberg is the General Counsel of Rockefeller Capital Management. He also serves as the Chief of Staff to the President and CEO Gregory Fleming, and is a member of the Executive Committee.

Mr. Eisenberg was previously the General Counsel for UBS Wealth Management Americas and, prior to that, was the Co-Head of Global Litigation, Regulatory and Employment Law at Merrill Lynch, where he worked for 12 years.

Mr. Eisenberg has significant experience in both private practice and at major financial institutions, and early in his career worked in the Securities and Exchange Commission's Office of General Counsel. He has been the Co-Chair of the SEC Enforcement and Civil Litigation section of the American Bar Association’s Business Law section; the Chair of the Corporation, Finance and Securities Law section of the D.C. Bar; a member of the Board of Trustees of the New York City Bar Justice Center; and a member of the Board of Editors for Lexis/Nexis securities law publications.

A prolific legal writer, Mr. Eisenberg has written more than 60 articles on legal developments affecting financial institutions. He was the first recipient of the Global Counsel Award recognizing outstanding achievement by an in-house lawyer in the field of litigation.

Mr. Eisenberg received his bachelor’s degree from Cornell University and his J.D. from the University of Virginia School of Law.

Laura Esposito is a Managing Director and Head of Institutional Distribution. She is also a member of the firm’s Operating Committee. Prior to joining Rockefeller in May 2018, Ms. Esposito served as co-head of global sales and marketing at TT International. She previously worked at First Eagle Investment Management covering North American and European institutional investors and consultants. Ms. Esposito also held various roles in institutional distribution at Goldman Sachs Asset Management and Lord Abbett. She started in the industry in 1998 and has twenty years of experience. Ms. Esposito earned a B.S. from the Villanova School of Business and is a member of the Advisory Council for the Anne Welsh McNulty Institute for Women's Leadership at Villanova University.

David Harris, CFA is the Chief Investment Officer and a Managing Director of Rockefeller Capital Management. He is a member of the Executive Committee. Mr. Harris has spent more than two decades with Rockefeller. Prior to becoming Chief Investment Officer in 2005 he was the firm’s Director of Equity Management, where he led the global equity portfolio and the equity analyst team. Before joining Rockefeller, Mr. Harris worked at Stein Roe & Farnham, where he was a portfolio manager for non-U.S. and emerging market equity funds. Mr. Harris serves on the Board of Trustees and as Chair of 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. He is a Chartered Financial Analyst® charterholder. Mr. Harris received his bachelor’s degree from the University of Michigan and an M.B.A. with distinction from Cornell University.

Timothy J. McCarthy is the Deputy General Counsel and Chief Compliance Officer. He is also a Managing Director. Prior to joining the Firm. 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.

Ed Moriarty is the Chief Financial Officer and Head of Risk for Rockefeller Capital Management. He is a member of the Executive Committee.

Mr. Moriarty previously served as the Head of Merchant Banking & Real Estate Investing, Alternative Investment Partners (AIP), and Managed Futures at Morgan Stanley which, in aggregate managed $77 billion of AUM across a variety of alternative strategies and products. Prior to this role, he was the Chief Operating Officer of Investment Management at Morgan Stanley from 2010 to 2013. He was also a member of Morgan Stanley’s Management Committee, Firm-wide Risk Committee, Asset/Liability Management Committee and Global Franchise Committee.

Before joining Morgan Stanley, Mr. Moriarty worked for Merrill Lynch & Co. from 1987 through 2008, where he finished as a Senior Vice President and Co-Chief Risk Officer and was selected to join the senior transition leadership team for the merger of Merrill Lynch & Co. with Bank of America Corp. At Merrill, he held a variety of leadership roles during his tenure across investment banking, capital markets, and risk management. He initially joined Merrill Lynch & Co. as an investment banker in 1987.

Mr. Moriarty is currently Vice Chairman of the Board of Trustees of Elon University as well as a trustee of Homeless Solutions, Inc., a non-profit, based in Morristown, NJ. He was formerly Vice Chairman of the Board of Trustees of the Gill St. Bernard’s School. He received his bachelor’s degree from Hamilton College and MBA from the Darden School of Business at the University of Virginia.

Elizabeth Munson is the President of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). She is a Managing Director and member of the Executive Committee at Rockefeller Capital Management. In this role, Ms. Munson specializes in advising high-net-worth individuals and families, particularly in trust and estate planning and philanthropic matters. Prior to joining Rockefeller, Ms. Munson was a partner in White & Case’s Private Clients Group, where she practiced from 1983 to 2001. In her law career, her practice focused on providing tax and estate planning for high-net-worth families, foundations, endowments and nonprofit organizations. She also advised the Private Clients Group at several leading banking institutions. Ms. Munson is extensively involved in nonprofit organizations. She serves as Board Chair of Lenox Hill Neighborhood House; Vice President and Secretary of Sheltering Arms Children and Family Services; and Secretary of the Cancer Schmancer Foundation. She is also a director of CPA®17 and CPA®18, real estate investment trusts advised by WP Carey & Co, LLC. Ms. Munson received an LLM in taxation from New York University School of Law, a J.D. from Harvard Law School and a bachelor’s degree from Yale College.

Christopher J. (Chris) Randazzo is a Managing Director, Head of Wealth Management and Head of Technology and Operations for Rockefeller Capital Management. He is a member of the Executive Committee. Prior to joining Rockefeller, Mr. Randazzo was the Chief Information Officer for Global Wealth Management and Investment Management at Morgan Stanley, where he was responsible for the strategic direction of technology platforms across the businesses. Prior to joining Morgan Stanley, Mr. Randazzo was the Chief Information Officer for Global Wealth and Investment Management at Bank of America Merrill Lynch from 2008 to 2013. He joined Merrill Lynch in 1994 and held a variety of other senior technology roles at the firm. Mr. Randazzo is a board member of the Wall Street Technology Association.

Jeffrey Shames is the Senior Strategy Adviser at Rockefeller Capital Management, where he helps the drive the firm-wide growth strategy. He is a member of the Executive Committee.

He is also in an Executive in Residence at the MIT Sloan School of Management, lecturing in finance, leadership and global health management, and serving as a member of the Advisory Boards of the MIT Sloan School of Management, MIT Masters of Finance Program, and MIT Leadership Center.

Previously, Mr. Shames was the Chairman and CEO of MFS Investment Management and served on the Board of Trustees of the MFS Funds. He joined MFS in 1983 as an industry analyst, and during his time with the firm also served as a portfolio manager, Chief Equity Officer, President and as a member of the board. He retired as CEO in 2002 and from his Chairman role in 2004.

Mr. Shames was a senior advisor to Morgan Stanley from 2010-2013, where he was responsible for advising the President of Investment Management and Morgan Stanley Smith Barney Wealth Management.

He is a member of the boards of trustees of the X Prize Foundation, City Year, Summer Search, Tufts Medical Center and the Berklee College of Music. He also serves on the boards of several new start-ups.

Mr. Shames received his bachelor’s degree from Wesleyan University and M.B.A. from the MIT Sloan School of Management. In between college and graduate school, he served as a U.S. Peace Corps volunteer and with the U.S. Department of Agriculture.

Harry Singh is the Chief Operating Officer and Head of Business Development for Rockefeller Capital Management and a member of the Executive Committee.

Mr. Singh was previously a Managing Director at Morgan Stanley, where he was also a member of the Management Committee of the Wealth Management business, and Head of the Office of the Vice Chairman for Global Wealth Management. He held roles as the head of the Strategic Client Management Groups, and Co-Head of the Institutional Wealth Services businesses.

Prior to his time at Morgan Stanley, Mr. Singh served in a variety of leadership roles at Merrill Lynch across the firm’s Wealth Management, Investment Banking and Fixed Income trading businesses, both in New York and London. Most recently, he was a Managing Director, member of the Investment Banking Operating Committee, Co-Head of Global Client Coverage and Chief Operating Officer of Global Capital Markets.

He has an M.B.A. from Cornell University and bachelor’s degree from the University of Bombay.

Kara Valentine is Head of Marketing for Rockefeller Capital Management and Senior Vice President responsible for strategic marketing, brand strategy and communication. Ms. Valentine has over two decades of financial services marketing experience. Prior to joining Rockefeller in 2015, Ms. Valentine 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. Ms. Valentine 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 Vice Chairman and a Senior Client Advisor. Mr. Wareham advises high net worth individuals, families and family offices, in addition to working on growth-oriented initiatives for the firm. Prior to joining Rockefeller in 2012, Mr. Wareham 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. Mr. Wareham previously spent twenty-four years at J.P. Morgan in corporate finance, M&A, and underwriting capacities in New York, London, and Tokyo. Mr. Wareham 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.

Grace Yoon is Head of Strategic Initiatives for Rockefeller Capital Management and Chief Operating Officer for Strategic Advisory. She is a member of the Executive Committee. Ms. Yoon was most recently a senior executive in financial services advisory at Ernst & Young, advising financial institutions in areas of transformation, innovation and strategy. Previously, Ms. Yoon was a managing director at Morgan Stanley, responsible for driving wealth and asset management growth for investment banking clients. Before that, Ms. Yoon spent a number of years at Bank of America Merrill Lynch in investment banking, equity capital markets, and investor relations for Merrill Lynch during the financial crisis. Ms. Yoon received her bachelor’s degree from Brown University and MBA from the Leonard N. Stern School of Business at New York University. She is a member of the Board of Directors of Invest In Girls.

Gregory J. Fleming is the Chief Executive Officer of Rockefeller Capital Management, a role he has held since the firm, formerly known as Rockefeller & Co., launched in March 2018. Mr. Fleming is also a member of the Board of Directors.

Prior to leading Rockefeller Capital Management, Mr. Fleming was the President of Morgan Stanley Wealth Management and Morgan Stanley Investment Management. Before joining Morgan Stanley in 2010, he served as President and Chief Operating Officer of Merrill Lynch from 2007 to 2009, and previously ran Merrill Lynch’s Global Investment Banking business. Mr. Fleming joined Merrill Lynch as an investment banker in 1992. He had also been a principal at Booz Allen Hamilton.
Mr. Fleming is a director of Colgate University; a member of the Board of Advisors for the Yale Law School Center for the Study of Corporate Law, the Council on Foreign Relations and the Economic Club of New York; a director on Turn2 Foundation Board; a trustee at Deerfield Academy; and a member of the Ronald McDonald House Board of Directors. He serves as a Visiting Lecturer in Law and a Distinguished Visiting Fellow at the Center for the Study of Corporate Law at Yale Law School.

He is a Phi Beta Kappa, summa cum laude graduate in economics from Colgate University and received his J.D. from Yale Law School.

Jimmy C. Chang, CFA is the Chief Investment Strategist, a Senior Portfolio Manager and a Managing Director, with oversight of the Fixed Income group. Prior to joining Rockefeller in 2004, Mr. Chang 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. Mr. Chang 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. Mr. Chang serves on the Investment Committee of the Foundation for Contemporary Arts.

Jonathan Eisenberg is the General Counsel of Rockefeller Capital Management. He also serves as the Chief of Staff to the President and CEO Gregory Fleming, and is a member of the Executive Committee.

Mr. Eisenberg was previously the General Counsel for UBS Wealth Management Americas and, prior to that, was the Co-Head of Global Litigation, Regulatory and Employment Law at Merrill Lynch, where he worked for 12 years.

Mr. Eisenberg has significant experience in both private practice and at major financial institutions, and early in his career worked in the Securities and Exchange Commission's Office of General Counsel. He has been the Co-Chair of the SEC Enforcement and Civil Litigation section of the American Bar Association’s Business Law section; the Chair of the Corporation, Finance and Securities Law section of the D.C. Bar; a member of the Board of Trustees of the New York City Bar Justice Center; and a member of the Board of Editors for Lexis/Nexis securities law publications.

A prolific legal writer, Mr. Eisenberg has written more than 60 articles on legal developments affecting financial institutions. He was the first recipient of the Global Counsel Award recognizing outstanding achievement by an in-house lawyer in the field of litigation.

Mr. Eisenberg received his bachelor’s degree from Cornell University and his J.D. from the University of Virginia School of Law.

Laura Esposito is a Managing Director and Head of Institutional Distribution. She is also a member of the firm’s Operating Committee. Prior to joining Rockefeller in May 2018, Ms. Esposito served as co-head of global sales and marketing at TT International. She previously worked at First Eagle Investment Management covering North American and European institutional investors and consultants. Ms. Esposito also held various roles in institutional distribution at Goldman Sachs Asset Management and Lord Abbett. She started in the industry in 1998 and has twenty years of experience. Ms. Esposito earned a B.S. from the Villanova School of Business and is a member of the Advisory Council for the Anne Welsh McNulty Institute for Women's Leadership at Villanova University.

David Harris, CFA is the Chief Investment Officer and a Managing Director of Rockefeller Capital Management. He is a member of the Executive Committee. Mr. Harris has spent more than two decades with Rockefeller. Prior to becoming Chief Investment Officer in 2005 he was the firm’s Director of Equity Management, where he led the global equity portfolio and the equity analyst team. Before joining Rockefeller, Mr. Harris worked at Stein Roe & Farnham, where he was a portfolio manager for non-U.S. and emerging market equity funds. Mr. Harris serves on the Board of Trustees and as Chair of 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. He is a Chartered Financial Analyst® charterholder. Mr. Harris received his bachelor’s degree from the University of Michigan and an M.B.A. with distinction from Cornell University.

Timothy J. McCarthy is the Deputy General Counsel and Chief Compliance Officer. He is also a Managing Director. Prior to joining the Firm. 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.

Ed Moriarty is the Chief Financial Officer and Head of Risk for Rockefeller Capital Management. He is a member of the Executive Committee.

Mr. Moriarty previously served as the Head of Merchant Banking & Real Estate Investing, Alternative Investment Partners (AIP), and Managed Futures at Morgan Stanley which, in aggregate managed $77 billion of AUM across a variety of alternative strategies and products. Prior to this role, he was the Chief Operating Officer of Investment Management at Morgan Stanley from 2010 to 2013. He was also a member of Morgan Stanley’s Management Committee, Firm-wide Risk Committee, Asset/Liability Management Committee and Global Franchise Committee.

Before joining Morgan Stanley, Mr. Moriarty worked for Merrill Lynch & Co. from 1987 through 2008, where he finished as a Senior Vice President and Co-Chief Risk Officer and was selected to join the senior transition leadership team for the merger of Merrill Lynch & Co. with Bank of America Corp. At Merrill, he held a variety of leadership roles during his tenure across investment banking, capital markets, and risk management. He initially joined Merrill Lynch & Co. as an investment banker in 1987.

Mr. Moriarty is currently Vice Chairman of the Board of Trustees of Elon University as well as a trustee of Homeless Solutions, Inc., a non-profit, based in Morristown, NJ. He was formerly Vice Chairman of the Board of Trustees of the Gill St. Bernard’s School. He received his bachelor’s degree from Hamilton College and MBA from the Darden School of Business at the University of Virginia.

Elizabeth Munson is the President of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). She is a Managing Director and member of the Executive Committee at Rockefeller Capital Management. In this role, Ms. Munson specializes in advising high-net-worth individuals and families, particularly in trust and estate planning and philanthropic matters. Prior to joining Rockefeller, Ms. Munson was a partner in White & Case’s Private Clients Group, where she practiced from 1983 to 2001. In her law career, her practice focused on providing tax and estate planning for high-net-worth families, foundations, endowments and nonprofit organizations. She also advised the Private Clients Group at several leading banking institutions. Ms. Munson is extensively involved in nonprofit organizations. She serves as Board Chair of Lenox Hill Neighborhood House; Vice President and Secretary of Sheltering Arms Children and Family Services; and Secretary of the Cancer Schmancer Foundation. She is also a director of CPA®17 and CPA®18, real estate investment trusts advised by WP Carey & Co, LLC. Ms. Munson received an LLM in taxation from New York University School of Law, a J.D. from Harvard Law School and a bachelor’s degree from Yale College.

Christopher J. (Chris) Randazzo is a Managing Director, Head of Wealth Management and Head of Technology and Operations for Rockefeller Capital Management. He is a member of the Executive Committee. Prior to joining Rockefeller, Mr. Randazzo was the Chief Information Officer for Global Wealth Management and Investment Management at Morgan Stanley, where he was responsible for the strategic direction of technology platforms across the businesses. Prior to joining Morgan Stanley, Mr. Randazzo was the Chief Information Officer for Global Wealth and Investment Management at Bank of America Merrill Lynch from 2008 to 2013. He joined Merrill Lynch in 1994 and held a variety of other senior technology roles at the firm. Mr. Randazzo is a board member of the Wall Street Technology Association.

Jeffrey Shames is the Senior Strategy Adviser at Rockefeller Capital Management, where he helps the drive the firm-wide growth strategy. He is a member of the Executive Committee.

He is also in an Executive in Residence at the MIT Sloan School of Management, lecturing in finance, leadership and global health management, and serving as a member of the Advisory Boards of the MIT Sloan School of Management, MIT Masters of Finance Program, and MIT Leadership Center.

Previously, Mr. Shames was the Chairman and CEO of MFS Investment Management and served on the Board of Trustees of the MFS Funds. He joined MFS in 1983 as an industry analyst, and during his time with the firm also served as a portfolio manager, Chief Equity Officer, President and as a member of the board. He retired as CEO in 2002 and from his Chairman role in 2004.

Mr. Shames was a senior advisor to Morgan Stanley from 2010-2013, where he was responsible for advising the President of Investment Management and Morgan Stanley Smith Barney Wealth Management.

He is a member of the boards of trustees of the X Prize Foundation, City Year, Summer Search, Tufts Medical Center and the Berklee College of Music. He also serves on the boards of several new start-ups.

Mr. Shames received his bachelor’s degree from Wesleyan University and M.B.A. from the MIT Sloan School of Management. In between college and graduate school, he served as a U.S. Peace Corps volunteer and with the U.S. Department of Agriculture.

Harry Singh is the Chief Operating Officer and Head of Business Development for Rockefeller Capital Management and a member of the Executive Committee.

Mr. Singh was previously a Managing Director at Morgan Stanley, where he was also a member of the Management Committee of the Wealth Management business, and Head of the Office of the Vice Chairman for Global Wealth Management. He held roles as the head of the Strategic Client Management Groups, and Co-Head of the Institutional Wealth Services businesses.

Prior to his time at Morgan Stanley, Mr. Singh served in a variety of leadership roles at Merrill Lynch across the firm’s Wealth Management, Investment Banking and Fixed Income trading businesses, both in New York and London. Most recently, he was a Managing Director, member of the Investment Banking Operating Committee, Co-Head of Global Client Coverage and Chief Operating Officer of Global Capital Markets.

He has an M.B.A. from Cornell University and bachelor’s degree from the University of Bombay.

Kara Valentine is Head of Marketing for Rockefeller Capital Management and Senior Vice President responsible for strategic marketing, brand strategy and communication. Ms. Valentine has over two decades of financial services marketing experience. Prior to joining Rockefeller in 2015, Ms. Valentine 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. Ms. Valentine 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 Vice Chairman and a Senior Client Advisor. Mr. Wareham advises high net worth individuals, families and family offices, in addition to working on growth-oriented initiatives for the firm. Prior to joining Rockefeller in 2012, Mr. Wareham 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. Mr. Wareham previously spent twenty-four years at J.P. Morgan in corporate finance, M&A, and underwriting capacities in New York, London, and Tokyo. Mr. Wareham 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.

Grace Yoon is Head of Strategic Initiatives for Rockefeller Capital Management and Chief Operating Officer for Strategic Advisory. She is a member of the Executive Committee. Ms. Yoon was most recently a senior executive in financial services advisory at Ernst & Young, advising financial institutions in areas of transformation, innovation and strategy. Previously, Ms. Yoon was a managing director at Morgan Stanley, responsible for driving wealth and asset management growth for investment banking clients. Before that, Ms. Yoon spent a number of years at Bank of America Merrill Lynch in investment banking, equity capital markets, and investor relations for Merrill Lynch during the financial crisis. Ms. Yoon received her bachelor’s degree from Brown University and MBA from the Leonard N. Stern School of Business at New York University. She is a member of the Board of Directors of Invest In Girls.

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