Rockefeller Capital Management L.P.
Registered adviserReports for
ROCKEFELLER & CO. LLC
ROCKEFELLER TRUST COMPANY, N.A.
Rockefeller Trust Co (Delaware)
ROCKEFELLER FINANCIAL LLC
Filing Date
Global Rank
#155
/ 8,819
▲ 2
Top Industry
Semiconductors
12.2%
Period ended 4 months ago
Filed Aug 13, 2026 · 3mo
26 quarters · since Mar 2020
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Registered adviser
Form ADV roster, Oct 1, 2026
Regulatory AUM
$36,764,098,197
Main clients
Individuals and high net worth
(62% of AUM)
Private funds
39 funds
· Other private funds
Focus by fund count, roster of Oct 1, 2026
$4,102,358,388 gross assets
Registered funds advised
3 series
(0 index, 0 ETFs)
$308,921,001 net assets· N-CEN Nov 30, 2025
LEI
254900AS2JCFQJX9T709
Private funds on Schedule D 7.B.(1)
As filed Oct 23, 2024; SEC's bulk Form ADV archive ends with 2024 filings.
$3,243,105,050 gross assets in 46 funds
Other private funds
$2,008,858,588
(37)
Hedge funds
$765,873,444
(1)
Private equity funds
$468,373,018
(8)
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Apr 2026 to Oct 2026 | $36,764,098,197 | Individuals and high net worth (62%) |
| Apr 2025 to Mar 2026 | $32,587,849,166 | Individuals and high net worth (69%) |
| Apr 2024 to Mar 2025 | $27,371,518,356 | Individuals and high net worth (50%) |
| May 2023 to Mar 2024 | $22,661,080,363 | Diversified |
| Apr 2023 | $22,661,080,363 | Diversified |
| May 2022 to Mar 2023 | $25,534,822,903 | Diversified |
4 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.
Style
Diversified active
Top 10 weight 35.8%, 49.7 effective positions, active share 37.5% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Low turnover
16.9% over the last four quarters (under 30%)
Horizon
Long horizon
Value-weighted holding period 22.9 quarters (12+), a floor since 79.1% of the book was already held when coverage starts
Closest benchmark: every 13F filer's combined book, active share 37.5%; sector active share 24.7% against the combined 13F book's sector weights.
Over time 26 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
4,705 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026Top Position
9.9%
+0.6 pts
Top 5
24.3%
+0.6 pts
Top 10
35.8%
+0.3 pts
HHI
201
Diversified+11
Portfolio Trend
26 quarters · across all stocks
Sector Breakdown
As of Jun 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Unclassified | 37.6% | $24,492,163,513 |
| Technology | 20.8% | $13,533,050,583 |
| Financial Services | 8.6% | $5,620,952,656 |
| Industrials | 7.0% | $4,529,426,197 |
| Communication Services | 5.8% | $3,777,424,435 |
| Healthcare | 5.5% | $3,600,999,890 |
| Consumer Cyclical | 5.3% | $3,436,872,411 |
| Energy | 3.1% | $2,026,542,495 |
| Consumer Defensive | 2.5% | $1,626,731,859 |
| Utilities | 1.4% | $933,120,323 |
| Real Estate | 1.4% | $881,723,677 |
| Basic Materials | 1.0% | $654,245,171 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| IWF | iShares Russell 1000 Growth ETF | +3,476,270 | 4,613,036 | $572,800,678 | |
| VUG | VANGUARD GROWTH INDEX FUND | +3,061,522 | 3,676,126 | $316,661,492 | |
| VO | VANGUARD MID-CAP INDEX FUND | +2,539,963 | 3,338,684 | $268,997,769 | |
| VGT | VANGUARD INFORMATION TECHNOLOGY INDEX FUND | +2,076,697 | 2,376,374 | $284,024,218 | |
| RMOP | Rockefeller Opportunistic Municipal Bond ETF | +1,706,546 | 10,951,077 | $279,646,699 | |
| CMCSA | Comcast Corp | +1,420,918 | 2,035,474 | $49,970,885 | |
| MGK | VANGUARD MEGA CAP GROWTH INDEX FUND | +982,097 | 1,221,378 | $107,371,339 | |
| PRMB | Primo Brands Corp | +831,763 | 1,232,117 | $30,112,938 | |
| — | +692,733 | 894,746 | $24,524,986 | ||
| WMG | Warner Music Group Corp. | +621,845 | 623,025 | $16,865,286 | |
| IJH | iShares Core S&P Mid-Cap ETF | +585,895 | 3,700,591 | $285,352,568 | |
| MD | Pediatrix Medical Group, Inc. | +576,095 | 1,338,592 | $33,906,533 | |
| IEMG | iShares Trust | +514,016 | 2,384,168 | $197,504,477 | |
| SRE | Sempra | +491,769 | 1,027,846 | $95,291,599 | |
| NMZ | Nuveen Municipal High Income Opportunity Fund | +460,827 | 592,054 | $6,258,010 | |
| NOW | ServiceNow, Inc. | +420,020 | 888,877 | $88,247,706 | |
| INVH | Invitation Homes Inc. | +408,641 | 436,303 | $13,180,711 | |
| ARCC | Ares Capital Corp | +401,771 | 2,692,567 | $49,893,265 | |
| LTH | Life Time Group Holdings, Inc. | +397,596 | 411,032 | $16,786,546 | |
| AAPL | Apple Inc. | +394,926 | 7,078,849 | $2,048,335,744 | |
| DVN | Devon Energy Corp | +368,759 | 672,249 | $27,777,328 | |
| — | +362,500 | 720,957 | $40,488,944 | ||
| FSCO | FS Credit Opportunities Corp. | +355,715 | 1,938,862 | $9,674,920 | |
| CPNG | Coupang, Inc. | +352,096 | 385,709 | $6,699,764 | |
| KLAC | Kla Corp | +350,659 | 384,270 | $115,938,099 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| HLN | Haleon plc | −4,981,110 | 122,399 | $1,141,981 | |
| STLA | Stellantis N.V. | −1,669,244 | 17,825 | $102,315 | |
| LYFT | Lyft, Inc. | −506,753 | 745,204 | $10,887,429 | |
| CRM | Salesforce, Inc. | −504,725 | 440,040 | $68,936,663 | |
| BP | Bp PLC | −475,681 | 149,155 | $5,511,275 | |
| EDD | Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. | −436,752 | 32,842 | $193,110 | |
| AAL | American Airlines Group Inc. | −420,879 | 672,632 | $12,154,458 | |
| SLP | Simulations Plus, Inc. | −418,920 | 168,716 | $3,089,189 | |
| BGC | BGC Group, Inc. | −417,383 | 1,213,102 | $12,968,059 | |
| RELX | Relx PLC | −416,395 | 74,808 | $2,369,168 | |
| TTEK | Tetra Tech Inc | −402,860 | 223,673 | $6,461,911 | |
| ABT | Abbott Laboratories | −378,705 | 1,154,889 | $104,794,624 | |
| NCNO | nCino, Inc. | −378,167 | 37,607 | $614,874 | |
| DAL | Delta Air Lines, Inc. | −375,773 | 258,432 | $24,204,739 | |
| SNY | Sanofi | −354,912 | 208,009 | $8,873,662 | |
| CCL | Carnival Corp Ltd. | −334,454 | 151,069 | $4,316,040 | |
| SNEX | StoneX Group Inc. | −331,105 | 478,887 | $56,748,108 | |
| BJ | BJ's Wholesale Club Holdings, Inc. | −320,174 | 291,458 | $25,420,965 | |
| RUN | Sunrun Inc. | −319,138 | 7,020 | $93,926 | |
| DV | DoubleVerify Holdings, Inc. | −317,648 | 531,465 | $5,761,079 | |
| RGEF | Rockefeller Global Equity ETF | −316,367 | 19,040,950 | $666,242,838 | |
| PGNY | Progyny, Inc. | −312,775 | 24,234 | $698,664 | |
| GM | General Motors Co | −298,865 | 148,384 | $11,437,438 | |
| BLFS | Biolife Solutions Inc | −296,332 | 445,020 | $12,567,364 | |
| CET | Central Securities Corp | −267,938 | 390,294 | $20,470,919 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| HONA | Honeywell Aerospace Inc. | 194,766 | $43,058,865 | |
| EVTR | Eaton Vance Total Return Bond ETF | 242,335 | $12,288,807 | |
| SPCX | Space Exploration Technologies Corp | 49,837 | $8,515,148 | |
| TDI | Touchstone ETF Trust-Touchstone Dynamic International ETF | 153,384 | $6,890,622 | |
| BRIE | MFS Blended Research International Equity ETF | 206,156 | $6,250,649 | |
| AIPO | Tidal Trust II | 147,388 | $4,924,233 | |
| EVSM | Eaton Vance Short Duration Municipal Income ETF | 97,400 | $4,900,194 | |
| PLPC | Preformed Line Products Co | 10,000 | $4,105,600 | |
| FDXF | FedEx Freight Holding Company, Inc. | 21,714 | $3,278,814 | |
| EVIM | Eaton Vance Intermediate Municipal Income ETF | 57,800 | $3,078,717 | |
| TRAX | First Tracks Biotherapeutics, Inc. | 116,939 | $2,352,811 | |
| CCCC | C4 Therapeutics, Inc. | 495,817 | $2,315,465 | |
| FSCC | Federated Hermes MDT Small Cap Core ETF | 54,791 | $2,045,348 | |
| CBRS | Cerebras Systems Inc. | 8,937 | $1,975,077 | |
| EVLN | 34,221 | $1,659,889 | ||
| WSE | Wise Group plc | 138,450 | $1,648,938 | |
| INMU | 48,091 | $1,166,206 | ||
| BSCY | 55,100 | $1,138,641 | ||
| HGER | Harbor Commodity All-Weather Strategy ETF | 32,238 | $945,862 | |
| AMZU | Direxion Daily AMZN Bull 2X Shares | 27,500 | $913,550 | |
| — | 4,671 | $872,832 | ||
| NOWL | GraniteShares 2x Long NOW Daily ETF | 161,555 | $705,995 | |
| SCOP | Sprott Physical Copper Trust | 55,700 | $634,200 | |
| BSCZ | 25,000 | $511,750 | ||
| QNT | Quantinuum Inc. | 5,314 | $434,366 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| — | 212,200 | $7,456,746 | ||
| — | 576,647 | $6,239,321 | ||
| BDYN | 120,612 | $2,932,077 | ||
| BDVL | 82,295 | $2,028,571 | ||
| — | 34,020 | $1,430,571 | ||
| — | 7,970 | $1,417,625 | ||
| OPFI | OppFi Inc. | 170,000 | $1,310,700 | |
| — | 20,634 | $830,106 | ||
| — | 110,852 | $718,321 | ||
| — | 9,079 | $686,282 | ||
| HELO | JPMorgan Hedged Equity Laddered Overlay ETF | 10,100 | $645,491 | |
| — | 35,483 | $423,667 | ||
| SCHQ | Schwab Long-Term U.S. Treasury ETF | 12,520 | $393,503 | |
| — | 5,872 | $381,378 | ||
| USDU | WisdomTree Bloomberg U.S. Dollar Bullish Fund | 11,538 | $303,795 | |
| CALI | 6,000 | $302,580 | ||
| BCPL | 9,480 | $235,113 | ||
| SSPY | Stratified LargeCap Index ETF | 2,447 | $216,028 | |
| SFEB | FT Vest U.S. Small Cap Moderate Buffer ETF - February | 7,431 | $176,486 | |
| BKFI | 6,846 | $164,358 | ||
| — | 2,661 | $124,348 | ||
| — | 24,475 | $112,587 | ||
| IVES | Dan IVES Wedbush AI Revolution ETF | 3,955 | $112,203 | |
| BSCW | 5,235 | $107,778 | ||
| — | 4,473 | $107,083 | ||
| No positions match the current search. | ||||
4,705 tracked positions ·
$65,113,253,210 total
· filing declares
11,392 positions · $65,222,136,691
· as of Jun 30, 2026
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 4,705 positions by value
· page 1 of 95
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| SPY |
Spdr S&P 500 ETF Trust
|
Reduced | 2,829,298 | $2,112,834,864 | 3.24% | |
| AAPL |
Apple Inc.
Technology
|
Added | 7,078,849 | $2,048,335,744 | 3.15% | |
| NVDA |
Nvidia Corp
Technology
|
Added | 9,264,434 | $1,853,720,595 | 2.85% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
Reduced | 4,252,828 | $1,519,833,139 | 2.33% | |
| MSFT |
Microsoft Corp
Technology
|
Reduced | 3,931,897 | $1,466,676,215 | 2.25% | |
| AMZN |
Amazon Com Inc
Consumer Cyclical
|
Added | 6,086,443 | $1,450,642,821 | 2.23% | |
| AVGO |
Broadcom Inc.
Technology
|
Added | 3,017,771 | $1,139,962,993 | 1.75% | |
| VOO |
VANGUARD 500 INDEX FUND
|
Added | 1,452,227 | $997,404,023 | 1.53% | |
| IVV |
iShares Core S&P 500 ETF
|
Added | 1,203,391 | $901,207,483 | 1.38% | |
| QQQ |
Invesco Qqq Trust, Series 1
|
Added | 1,150,570 | $847,279,747 | 1.30% | |
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Added | 2,459,728 | $805,142,762 | 1.24% | |
| GOOG |
Alphabet Inc.
Communication Services
|
Added | 2,192,491 | $774,672,843 | 1.19% | |
| LLY |
ELI LILLY & Co
Healthcare
|
Added | 559,339 | $670,888,028 | 1.03% | |
| RGEF |
Rockefeller Global Equity ETF
|
Reduced | 19,040,950 | $666,242,838 | 1.02% | |
| RSMC |
Rockefeller U.S. Small-Mid Cap ETF
|
Reduced | 21,355,875 | $617,611,903 | 0.95% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Added | 1,067,698 | $601,423,603 | 0.92% | |
| IWF |
iShares Russell 1000 Growth ETF
|
Added | 4,613,036 | $572,800,678 | 0.88% | |
| GEV |
GE Vernova Inc.
Industrials
|
Added | 420,587 | $494,130,839 | 0.76% | |
| V |
Visa Inc.
Financial Services
|
Added | 1,393,950 | $478,250,303 | 0.73% | |
| AMD |
Advanced Micro Devices Inc
Technology
|
Reduced | 804,661 | $467,435,618 | 0.72% | |
| TSM |
Taiwan Semiconductor Manufacturing Co Ltd
Technology
|
Added | 960,273 | $458,597,573 | 0.70% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Added | 1,150,345 | $425,673,660 | 0.65% | |
| MU |
Micron Technology Inc
Technology
|
Added | 360,839 | $416,512,847 | 0.64% | |
| COST |
Costco Wholesale Corp
Consumer Defensive
|
Added | 432,646 | $404,727,350 | 0.62% | |
| CRWD |
CrowdStrike Holdings, Inc.
Technology
|
Reduced | 517,577 | $394,983,707 | 0.61% | |
| IWD |
iShares Russell 1000 Value ETF
|
Reduced | 1,534,580 | $372,028,227 | 0.57% | |
| XLK |
State Street(R) Technology Select Sector SPDR(R) ETF
|
Reduced | 1,911,305 | $364,141,827 | 0.56% | |
| HD |
Home Depot, Inc.
Consumer Cyclical
|
Added | 1,032,263 | $364,058,511 | 0.56% | |
| RSP |
Victory Portfolios II
|
Added | 1,655,841 | $352,313,287 | 0.54% | |
| GLD |
Spdr Gold Trust
|
Added | 952,134 | $350,747,120 | 0.54% | |
| VEA |
Vanguard FTSE Developed Markets ETF
|
Added | 4,871,595 | $347,101,142 | 0.53% | |
| PANW |
Palo Alto Networks Inc
Technology
|
Reduced | 983,075 | $335,248,234 | 0.51% | |
| EFA |
iShares MSCI EAFE ETF
|
Added | 3,218,966 | $334,386,185 | 0.51% | |
| VTV |
VANGUARD VALUE INDEX FUND
|
Added | 1,483,132 | $323,218,955 | 0.50% | |
| CAT |
Caterpillar Inc
Industrials
|
Added | 298,639 | $318,020,669 | 0.49% | |
| AMAT |
Applied Materials Inc
Technology
|
Added | 439,457 | $317,727,411 | 0.49% | |
| VUG |
VANGUARD GROWTH INDEX FUND
|
Added | 3,676,126 | $316,661,492 | 0.49% | |
| IEFA |
iShares Core MSCI EAFE ETF
|
Added | 3,141,044 | $303,362,026 | 0.47% | |
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
Added | 604,069 | $302,270,082 | 0.46% | |
| JNJ |
Johnson & Johnson
Healthcare
|
Added | 1,137,643 | $288,927,190 | 0.44% | |
| IJH |
iShares Core S&P Mid-Cap ETF
|
Added | 3,700,591 | $285,352,568 | 0.44% | |
| VGT |
VANGUARD INFORMATION TECHNOLOGY INDEX FUND
|
Added | 2,376,374 | $284,024,218 | 0.44% | |
| IJR |
iShares Core S&P Small-Cap ETF
|
Added | 1,893,254 | $280,788,498 | 0.43% | |
| XOM |
ExxonMobil Holdings Corp
Energy
|
Added | 2,046,703 | $279,825,231 | 0.43% | |
| RMOP |
Rockefeller Opportunistic Municipal Bond ETF
|
Added | 10,951,077 | $279,646,699 | 0.43% | |
| SOXX |
iShares Semiconductor ETF
|
Added | 433,699 | $277,896,971 | 0.43% | |
| CSCO |
Cisco Systems, Inc.
Technology
|
Reduced | 2,297,632 | $269,879,850 | 0.41% | |
| VO |
VANGUARD MID-CAP INDEX FUND
|
Added | 3,338,684 | $268,997,769 | 0.41% | |
| UBER |
Uber Technologies, Inc
Technology
|
Added | 3,702,855 | $267,198,013 | 0.41% | |
| CVX |
Chevron Corp
Energy
|
Added | 1,572,041 | $260,581,512 | 0.40% |
Showing the top 50 of 4,705 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.