Who We Are

About Rockefeller Capital Management

Rockefeller Capital Management is a leading independent, privately-owned financial services firm offering global family office, asset management and strategic advisory services to ultra-high-net-worth individuals and families, institutions and corporations. The Firm has offices in New York, Atlanta, Boston, Salt Lake City, Saratoga Springs, Washington, DC, and Wilmington, Delaware.

Our History

1882
1882

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

1979
1979

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

1980
1980

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

2012
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.

2018
2018

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

TODAY

Rockefeller Capital Management has approximately $18.6 billion in assets under advisement for individuals and families, family offices, nonprofit organizations, foundations, endowments, and global institutions.1

1 As of September 30, 2018. This number includes net assets under management of approximately $13.3 billion plus approximately $5.3 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 Mission

We are a premier financial advisory firm that redefines and elevates 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 corporations 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.

Firm Principles

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

People With Purpose

We hire, inspire and invest in the very best talent across every discipline and empower our people to thrive in an environment of respect.

Our unique ability to celebrate different perspectives and foster a culture of inclusion leads to an unparalleled client experience.

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.

CORPORATE SOCIAL RESPONSIBILITY

Business and capital can work to benefit society, promote a healthy, growing economy, and be a positive influence in the world.

As a premier financial services firm, we strive to do our part. Our responsibility across the Firm is to conduct our business with integrity and focus on achieving long-term, sustainable value creation for all our stakeholders: our clients, employees, investors and communities.

Honoring the Rockefeller legacy, we provide leadership as a model global citizen. We have a long-term orientation, and believe the pursuit of sustainability is key to delivering superior results today while advancing strategic goals for the future.

We consider environmental, social and governance (ESG) factors across all our businesses, reflected in our risk management, operational efficiencies, processes and people. Promoting strong corporate governance, ethical business practices and fostering a vibrant, inclusive culture are critical to long-term performance and value creation for our constituents.

OUR ENVIRONMENT

A healthy environment is the foundation to a robust, sustainable economy. Within the operations of our workplace, we take great strides to minimize our environmental impact. While our direct carbon footprint is relatively limited, we have adopted working practices that promote resource efficiency and align with green building standards. We continue to make progress towards responsibly sourcing office products, reducing waste and water consumption, and promoting recycling initiatives. Where practicable, we aspire to create a paperless workplace. Further, we are focused on sustainability and operational efficiency in managing our supply chain, including procurement and vendor management processes.

OUR PEOPLE

Our long-term competitive advantage is our people. Promoting inclusion is a leadership choice that cultivates cognitive diversity, creativity and innovation leading to superior results for our stakeholders. We believe in fostering a vibrant, inclusive culture inspired by a common purpose, collaborating towards a greater vision for the future. We are committed to attracting, developing and motivating the best and the brightest, nurturing professional growth and personal fulfillment.

OUR COMMUNITIES

We believe in being a responsible leader, partner, neighbor and volunteer in the communities where we live and work. We encourage our team members to play an active role in their communities and to take action where their skills and leadership can make a difference in business and society. For example, Rockefeller employees may give back through various sponsored initiatives such as Operation Backpack and our Annual Holiday Toy Drive. We also support our employees in their volunteering efforts, and have a program to match employees’ donations to promote individual contributions to philanthropic and charitable causes.

OUR GOVERNANCE

At the Board and senior management level, our focus on corporate governance, ethical business standards and reputational risk is paramount. The tone comes from the top and is reinforced across the businesses throughout the firm.

Inclusion

Executive Team Statement

Promoting inclusion is a leadership choice that creates competitive advantage. Our commitment to fostering inclusion is driven by three fundamental core beliefs:

CULTURE

Our high performance culture is built on a foundation of meritocracy where people can grow their careers and are recognized and rewarded for creating value. Any form of discrimination or exclusion (conscious or unconscious) goes against the Firm’s culture and values.

TALENT

A leadership team and organization that reflects the diversity of the marketplace is critical to winning new clients, serving existing clients and attracting, motivating and retaining exceptional talent.

PERFORMANCE

An inclusive workplace empowers cognitive diversity, fosters creativity, inspires innovation and increases problem-solving ability. Diverse teams outperform homogeneous teams and deliver better outcomes for our clients.

Measuring Impact

CULTURE INDEX

We are committed to measuring the cultural tenets of the Firm including respect, inclusion, debate, and feedback, to continuously and consistently align our organization to our Firm principles.

TALENT SCORECARD

We are committed to measuring diversity by business, functional areas and across levels, in talent acquisition and retention.

PERFORMANCE METRICS

We are committed to measuring overall business performance metrics focused on optimizing client impact and firm results.