Rockefeller Capital Management L.P. — 13F Holdings & Portfolio
CIK 1739439 · latest 13F-HR filed 2026-08-13
Rockefeller Capital Management L.P. manages $65.22B in 13F-reported U.S. long-equity assets across 11,392 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SPY (2.88%), AAPL (2.66%), NVDA (2.45%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 243 new positions and exited 195; 2,467 existing positions rose in reported value and 1,314 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$65.22B
Long-equity book
Holdings
11,392
Distinct positions
Period
2026-06-30
Filed 2026-08-13
Q/Q Activity
+243 / −195 / ↑2467 / ↓1314
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Firm Profile & Key People
As of the firm’s regulatory filing dated Mar 31, 2026.
Assets Under Management
$99.60B
Discretionary
$93.52B
Employees
1,005
Accounts
95,368
Address
45 ROCKEFELLER PLAZA
FLOOR 5
NEW YORK, NY 10111
FLOOR 5
NEW YORK, NY 10111
Phone
(212) 549-5100
This firm reports 3 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| ALEXANDER, MARK DAVID Control | PRINCIPAL OPERATIONS OFFICER since May 2022 | Less than 5% | Individual |
| MORIARTY, EDMOND NICHOLAS Control | CO-CHIEF EXECUTIVE OFFICER since Dec 2025 | Less than 5% | Individual |
| OUTLAW, MICHAEL WAYNE Control | CO-CHIEF EXECUTIVE OFFICER since Dec 2025 | Less than 5% | Individual |
| RFS OPCO LLC ("OPCO") Control | MEMBER since Oct 2017 | 75% or more | Domestic Entity |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER since Jan 2023 | Less than 5% | Individual |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER since Jul 2024 | Less than 5% | Individual |
| ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. ("RCMGP") Control Indirect owner via ROCKEFELLER CAPITAL MANAGEMENT L.P. | GENERAL PARTNER since Oct 2017 | General partner, trustee or manager | Domestic Entity |
| ROCKEFELLER CAPITAL MANAGEMENT L.P. ("RCM") Control Indirect owner via RFS OPCO LLC | MEMBER since Mar 2018 | 75% or more | Domestic Entity |
Ownership & leadership changes · 13 filings with changes since Aug 23, 2018
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- No longer listedYANNOTTA, WILLIAM MICHAEL · CHIEF FINANCIAL OFFICER · Less than 5% · listed since Nov 2024
Dec 24, 2025 filing
- No longer listedDRAGSA 24 CAYMAN LTD. · LIMITED PARTNER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person · listed since Mar 2018
- No longer listedDRAGSA 24 CAYMAN LTD. · MEMBER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · control person · listed since Mar 2018
- No longer listedDRAGSA 30 CAYMAN LTD. · LIMITED PARTNER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person · listed since Mar 2018
- No longer listedDRAGSA 30 CAYMAN LTD. · MEMBER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · control person · listed since Mar 2018
- No longer listedDUPUY, CHRISTOPHER TREVOR · PRESIDENT & CEO · Less than 5% · control person · listed since Nov 2021
- No longer listedVIKING GLOBAL INVESTORS LP · VOTING SECURITY SHAREHOLDER · 75% or more · indirect via DRAGSA 24 CAYMAN LTD. · control person · listed since Jan 2018
- No longer listedVIKING GLOBAL INVESTORS LP · VOTING SECURITY SHAREHOLDER · 75% or more · indirect via DRAGSA 30 CAYMAN LTD. · control person · listed since Jan 2018
- No longer listedVIKING GLOBAL PARTNERS LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via VIKING GLOBAL INVESTORS LP · control person · listed since Apr 1999
- AddedOUTLAW, MICHAEL WAYNE · CO-CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- Listed againMORIARTY, EDMOND NICHOLAS · CO-CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ChangedMIRZA, RIZWAN MOHAMMAD · title CCO → CHIEF COMPLIANCE OFFICER
Nov 14, 2024 filing
- AddedYANNOTTA, WILLIAM MICHAEL · CHIEF FINANCIAL OFFICER · Less than 5%
Jul 26, 2024 filing
- No longer listedERIGO, JOSEPH · CCO · Less than 5% · listed since Mar 2022
- AddedMIRZA, RIZWAN MOHAMMAD · CCO · Less than 5%
Apr 5, 2023 filing
- No longer listedHELD, KEVIN F · PRINCIPAL FINANCIAL OFFICER · Less than 5% · listed since Aug 2022
- AddedKOWALSKI, DEIRDRE PATTEN · PRINCIPAL FINANCIAL OFFICER · Less than 5%
Aug 22, 2022 filing
- No longer listedZIMMEL, ROBERT PATRICK · PRINCIPAL FINANCIAL OFFICER · Less than 5% · listed since Aug 2019
- AddedHELD, KEVIN F · PRINCIPAL FINANCIAL OFFICER · Less than 5%
Jul 29, 2022 filing
- No longer listedWARSHAW, BRIAN JOHN · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Jan 2020
- AddedALEXANDER, MARK DAVID · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
Mar 31, 2022 filing
- No longer listedBRAGOLI, ROBERT · CCO · Less than 5% · listed since Sep 2021
- No longer listedROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · GENERAL PARTNER · General partner, trustee or manager · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person · listed since Oct 2017
- No longer listedROCKEFELLER CAPITAL MANAGEMENT L.P. · MEMBER · 75% or more · indirect via RFS OPCO LLC · control person · listed since Mar 2018
- AddedERIGO, JOSEPH · CCO · Less than 5%
- AddedROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. ("RCMGP") · GENERAL PARTNER · General partner, trustee or manager · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person
- AddedROCKEFELLER CAPITAL MANAGEMENT L.P. ("RCM") · MEMBER · 75% or more · indirect via RFS OPCO LLC · control person
Nov 5, 2021 filing
- No longer listedRANDAZZO, CHRISTOPHER · CEO & PRESIDENT · Less than 5% · control person · listed since May 2019
- No longer listedRFS OPCO LLC · MEMBER · 75% or more · control person · listed since Oct 2017
- No longer listedSOLOMON, MICHAEL DEAN · GENERAL COUNSEL & CCO · Less than 5% · control person · listed since Jul 2019
- AddedBRAGOLI, ROBERT · CCO · Less than 5%
- AddedDUPUY, CHRISTOPHER TREVOR · PRESIDENT & CEO · Less than 5% · control person
- AddedRFS OPCO LLC ("OPCO") · MEMBER · 75% or more · control person
Mar 30, 2020 filing
- No longer listedDORIA, CHRISTOPHER VITO · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Sep 2019
- Listed againWARSHAW, BRIAN JOHN · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
Older changes (4 more filings)
Sep 25, 2019 filing
- No longer listedPORTNOFF, DAVID ROSS · CFO AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · listed since Mar 2018
- No longer listedWARSHAW, BRIAN JOHN · MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since May 2019
- AddedDORIA, CHRISTOPHER VITO · PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
- AddedZIMMEL, ROBERT PATRICK · PRINCIPAL FINANCIAL OFFICER · Less than 5%
Aug 5, 2019 filing
- No longer listedCHIRDO, JAMES MICHAEL · SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Jan 2019
- No longer listedKIM-ROSEN, ANNAH Y · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Mar 2018
- No longer listedMORIARTY, EDMOND NICHOLAS · CEO AND PRESIDENT · Less than 5% · control person · listed since Oct 2017
- AddedRANDAZZO, CHRISTOPHER · CEO & PRESIDENT · Less than 5% · control person
- AddedSOLOMON, MICHAEL DEAN · GENERAL COUNSEL & CCO · Less than 5% · control person
- AddedWARSHAW, BRIAN JOHN · MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
Mar 29, 2019 filing
- No longer listedFLEMING, GREGORY JAMES · DIRECTOR · Less than 5% · control person · listed since Oct 2017
- No longer listedSINGH, HARDIT · DIRECTOR · Less than 5% · control person · listed since Mar 2018
- AddedCHIRDO, JAMES MICHAEL · SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
- ChangedKIM-ROSEN, ANNAH Y · no longer a control person
- ChangedPORTNOFF, DAVID ROSS · title CFO AND FINOP → CFO AND PRINCIPAL FINANCIAL OFFICER; no longer a control person
Aug 23, 2018 filing (earliest on record)
- ListedDRAGSA 24 CAYMAN LTD. · LIMITED PARTNER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person
- ListedDRAGSA 24 CAYMAN LTD. · MEMBER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · control person
- ListedDRAGSA 30 CAYMAN LTD. · LIMITED PARTNER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person
- ListedDRAGSA 30 CAYMAN LTD. · MEMBER · 25–50% · indirect via ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · control person
- ListedFLEMING, GREGORY JAMES · DIRECTOR · Less than 5% · control person
- ListedKIM-ROSEN, ANNAH Y · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedMORIARTY, EDMOND NICHOLAS · CEO AND PRESIDENT · Less than 5% · control person
- ListedPORTNOFF, DAVID ROSS · CFO AND FINOP · Less than 5% · control person
- ListedRFS OPCO LLC · MEMBER · 75% or more · control person
- ListedROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. · GENERAL PARTNER · General partner, trustee or manager · indirect via ROCKEFELLER CAPITAL MANAGEMENT L.P. · control person
- ListedROCKEFELLER CAPITAL MANAGEMENT L.P. · MEMBER · 75% or more · indirect via RFS OPCO LLC · control person
- ListedSINGH, HARDIT · DIRECTOR · Less than 5% · control person
- ListedVIKING GLOBAL INVESTORS LP · VOTING SECURITY SHAREHOLDER · 75% or more · indirect via DRAGSA 24 CAYMAN LTD. · control person
- ListedVIKING GLOBAL INVESTORS LP · VOTING SECURITY SHAREHOLDER · 75% or more · indirect via DRAGSA 30 CAYMAN LTD. · control person
- ListedVIKING GLOBAL PARTNERS LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via VIKING GLOBAL INVESTORS LP · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- APPLE INC$352.0M +20.8%
- MICRON TECHNOLOGY INC$309.0M +287.4%
- ADVANCED MICRO DEVICES INC$288.8M +161.7%
- ALPHABET INC$284.1M +23.0%
- NVIDIA CORPORATION$278.9M +17.7%
Top Trims
- SALESFORCE INC-$107.4M -60.9%
- EXXON MOBIL CORP-$66.9M -19.3%
- CHEVRON CORPORATION-$61.6M -19.1%
- ABBOTT LABORATORIES-$52.7M -33.4%
- HALEON PLC-$49.9M -97.8%
New Positions
- HONEYWELL INTL INC$44.8M
- HONEYWELL AEROSPACE INC$43.1M
- MORGAN STANLEY ETF TRUST$12.3M
- SPACE EXPLORATION TECHN CORP$8.5M
- TOUCHSTONE ETF TRUST$6.9M
Exited Positions
- HONEYWELL INTL INC$90.8M
- CARNIVAL CORP$12.6M
- COTERRA ENERGY INC$7.5M
- KENNEDY-WILSON HOLDINGS INC$6.2M
- DUPONT DE NEMOURS INC$3.2M
Rockefeller Capital Management L.P. Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $1.88B | 2.88% | 2,512,096 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $1.74B | 2.66% | 5,996,764 | SH |
| 3 | NVIDIA CORPORATION | NVDA | 67066G104 | $1.60B | 2.45% | 7,983,617 | SH |
| 4 | ALPHABET INC | GOOGL | 02079K305 | $1.17B | 1.79% | 3,269,902 | SH |
| 5 | AMAZON COM INC | AMZN | 023135106 | $1.16B | 1.78% | 4,881,344 | SH |
| 6 | MICROSOFT CORP | MSFT | 594918104 | $1.02B | 1.57% | 2,743,733 | SH |
| 7 | BROADCOM INC | AVGO | 11135F101 | $958.5M | 1.47% | 2,537,379 | SH |
| 8 | INVESCO QQQ TR | QQQ | 46090E103 | $788.8M | 1.21% | 1,071,155 | SH |
| 9 | ISHARES TR | IVV | 464287200 | $747.9M | 1.15% | 998,668 | SH |
| 10 | ALPHABET INC | GOOG | 02079K107 | $677.1M | 1.04% | 1,916,365 | SH |
| 11 | JPMORGAN CHASE & CO | JPM | 46625H100 | $653.0M | 1.00% | 1,994,912 | SH |
| 12 | VANGUARD INDEX FDS | VOO | 922908363 | $650.2M | 1.00% | 946,722 | SH |
| 13 | ISHARES TR | IWF | 464287614 | $539.5M | 0.83% | 4,344,820 | SH |
| 14 | ELI LILLY & CO | LLY | 532457108 | $507.2M | 0.78% | 422,862 | SH |
| 15 | META PLATFORMS INC | META | 30303M102 | $457.8M | 0.70% | 812,644 | SH |
| 16 | VANGUARD INDEX FDS | VTI | 922908769 | $385.5M | 0.59% | 1,041,743 | SH |
| 17 | CROWDSTRIKE HLDGS INC | CRWD | 22788C105 | $378.4M | 0.58% | 495,828 | SH |
| 18 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $378.0M | 0.58% | 404,084 | SH |
| 19 | TIDAL TRUST III | RSMC | 45259A803 | $377.5M | 0.58% | 13,051,775 | SH |
| 20 | MICROSOFT CORP | MSFT | 594918104 | $371.3M | 0.57% | 995,259 | SH |
| 21 | VISA INC | V | 92826C839 | $361.7M | 0.55% | 1,054,313 | SH |
| 22 | ISHARES TR | IWD | 464287598 | $356.0M | 0.55% | 1,468,616 | SH |
| 23 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $354.7M | 0.54% | 1,861,532 | SH |
| 24 | GE VERNOVA INC | GEV | 36828A101 | $342.4M | 0.53% | 291,460 | SH |
| 25 | TIDAL TRUST III | RGEF | 45259A886 | $331.5M | 0.51% | 9,473,945 | SH |
| 26 | HOME DEPOT INC | HD | 437076102 | $325.2M | 0.50% | 922,188 | SH |
| 27 | MICRON TECHNOLOGY INC | MU | 595112103 | $324.2M | 0.50% | 280,842 | SH |
| 28 | VANGUARD INDEX FDS | VTV | 922908744 | $320.0M | 0.49% | 1,468,574 | SH |
| 29 | TIDAL TRUST III | RGEF | 45259A886 | $312.9M | 0.48% | 8,941,823 | SH |
| 30 | PALO ALTO NETWORKS INC | PANW | 697435105 | $310.9M | 0.48% | 911,550 | SH |
| 31 | VANGUARD INDEX FDS | VUG | 922908736 | $308.1M | 0.47% | 3,576,789 | SH |
| 32 | VANGUARD INDEX FDS | VOO | 922908363 | $305.2M | 0.47% | 444,360 | SH |
| 33 | SPDR GOLD TR | GLD | 78463V107 | $290.0M | 0.44% | 787,244 | SH |
| 34 | ALPHABET INC | GOOGL | 02079K305 | $286.5M | 0.44% | 801,566 | SH |
| 35 | VANGUARD WORLD FD | VGT | 92204A702 | $278.0M | 0.43% | 2,325,898 | SH |
| 36 | ISHARES TR | EFA | 464287465 | $275.3M | 0.42% | 2,650,496 | SH |
| 37 | CATERPILLAR INC | CAT | 149123101 | $271.8M | 0.42% | 255,263 | SH |
| 38 | ISHARES TR | IJR | 464287804 | $263.8M | 0.40% | 1,778,662 | SH |
| 39 | ISHARES TR | IEFA | 46432F842 | $260.8M | 0.40% | 2,700,274 | SH |
| 40 | ISHARES TR | IJH | 464287507 | $254.4M | 0.39% | 3,299,353 | SH |
| 41 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $254.2M | 0.39% | 508,014 | SH |
| 42 | INVESCO EXCHANGE TRADED FD T | RSP | 46137V357 | $249.6M | 0.38% | 1,173,322 | SH |
| 43 | APPLE INC | AAPL | 037833100 | $242.1M | 0.37% | 836,573 | SH |
| 44 | AMAZON COM INC | AMZN | 023135106 | $241.6M | 0.37% | 1,013,522 | SH |
| 45 | JOHNSON & JOHNSON | JNJ | 478160104 | $240.7M | 0.37% | 947,779 | SH |
| 46 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $238.7M | 0.37% | 410,908 | SH |
| 47 | VANGUARD INDEX FDS | VO | 922908629 | $237.9M | 0.36% | 2,952,358 | SH |
| 48 | TIDAL TRUST III | RMOP | 45259A878 | $230.4M | 0.35% | 9,022,807 | SH |
| 49 | TAIWAN SEMICONDUCTOR MANUFAC | TSM | 874039100 | $230.1M | 0.35% | 481,915 | SH |
| 50 | COCA COLA CO | KO | 191216100 | $228.2M | 0.35% | 2,807,443 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-13 | $65.22B | 11,392 | 0001739439-26-000006 |
| 2026-03-31 | 2026-05-14 | $56.40B | 11,499 | 0001739439-26-000005 |
| 2025-12-31 | 2026-03-17 | $55.53B | 7,364 | 0001739439-26-000003 |
| 2025-12-31 | 2026-02-17 | $55.55B | 7,371 | 0001739439-26-000002 |
Filer Information
Address
45 ROCKEFELLER PLAZA, 5TH FLOORNEW YORK, NY 10111
Phone
(212) 549-5100
Filing Manager
Rockefeller Capital Management L.P.
NEW YORK, NY
Signatory
Rizwan Mirza
Chief Compliance Officer