EFTA01079462Set 9
2016-03-3043p14,322w
ROCKEFELLER & CO.
PART 2A OF FORM ADV: BROCHURE
Rockefeller & Co., Inc.
As of March 30, 2016
This brochure provides information about the qualifications and business practices
of Rockefeller & Co ... Rockefeller & Co."), which is an investment adviser
registered with the United States Securities and Exchange Commission (the -SEC'S). If
you have any questions about the cont !its of this ... does not imply a certain
level of skill or training.
Additional information about Rockefeller & Co. is available at the SEC's website at
www.adviserinfo.sec.gov.
EFTA01079462
Item 2: Material Changes
Rockefeller
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf
EFTA00595953Set 9
2015-12-3132p8,833w
ROCKEFELLER & CO.
Rockefeller Financial
Services, Inc. and
Subsidiary
Consolidated Financial Statements for the
Years Ended December 31, 2015 and 2014
and Independent Auditors' Report
EFTA00595953
This page intentionally left blank ... DESCRIPTION OF BUSINESS
Rockefeller Financial Services, Inc. ("RFS") and its wholly-owned subsidiary, Rockefeller &
Co., Inc. ("Rock. & Co." and together, the "Company"), provide individual clients and
institutions, including Rockefeller family
https://www.justice.gov/epstein/files/DataSet%209/EFTA00595953.pdf
EFTA01078984Set 9
2015-12-3132p8,813w
ROCKEFELLER & CO.
Rockefeller Financial
Services, Inc. and
Subsidiary
Consolidated Financial Statements for the
Years Ended December 31, 2015 and 2014
and Independent Auditors' Report
EFTA01078984
This page intentionally left blank ... DESCRIPTION OF BUSINESS
Rockefeller Financial Services, Inc. ("RFS") and its wholly-owned subsidiary, Rockefeller &
Co., Inc. ("Rock. & Co." and together, the "Company"), provide individual clients and
institutions, including Rockefeller family
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078984.pdf
EFTA01098868Set 9
10p2,922w
Audit Director
EFTA01098870
CANDIDATE ASSESSMENT
SUMMARY
David Westbrook is currently the CFO of Rockefeller & Co., a large wealth advisory firm
that originated as the family office for the Rockefeller family ... roles (described below) prior to joining Silvercrest.
DESCRIPTION OF CURRENT COMPANY AND CURRENT ROLE
Rockefeller & Co. — Originally the family office for the Rockefeller family, which has
morphed into an investment ... management. private equity. family office. financial services. manufacturing. and Big 4
auditing industries.
Experience
Rockefeller & Co.. 2011 - Present
Investment and Wealth Management advisor saving individuals. families, family offices.
foundations
https://www.justice.gov/epstein/files/DataSet%209/EFTA01098868.pdf
EFTA01079277Set 9
2016-03-30185p86,831w
APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: ROCKEFELLER & CO., INC. CRD Number:
Annual Amendment - All Sections Rev. 10/2012
3/30/2016 ... legal name (if you are a sole proprietor, your last, first, and middle names):
ROCKEFELLER & CO., INC
B. Name under which you primarily conduct your advisory business, if different from ... Item 1.A.:
ROCKEFELLER & CO., INC.
List on Section 1.B. of Schedule 0 any additional names under which you conduct your advisory business.
C. If this filing is reporting
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079277.pdf