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Adam Baker Landau
Rockefeller Capital Management
33 Years of Experience
1 Disclosure
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Financial Planning & Coaching
High Net Worth
Rockefeller Capital Management
Compensation
Fee-Only (AUM)
Fixed/Hourly
Firm Size
876 advisors
Number of Clients
35,950 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$70.0B
Fee Structure
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Location
5605 Carnegie Blvd., Suite 220, Charlotte, NC, 28209
Get directions
History
Regulatory History (1)
What are disclosures?
Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations.
Learn how to evaluate them
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Customer Dispute
January 1999
Denied
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Rockefeller Financial LLC
Broker
May 2024 - Present · 1 yr 9 mos
Rockefeller Capital Management
May 2024 - Present · 1 yr 9 mos
Previous Registrations
Morgan Stanley
Broker
June 2009 - May 2024 · 14 yrs 11 mos
Morgan Stanley
June 2009 - May 2024 · 14 yrs 11 mos
Morgan Stanley & CO. Incorporated
Broker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
August 2005 - April 2007 · 1 yr 8 mos
Morgan Stanley Dw INC.
Broker
August 2005 - April 2007 · 1 yr 8 mos
Legg Mason Wood Walker INC
December 2001 - August 2005 · 3 yrs 8 mos
Legg Mason Wood Walker, Incorporated
Broker
February 2000 - August 2005 · 5 yrs 6 mos
Salomon Smith Barney INC.
Broker
February 1992 - February 2000 · 8 yrs
State Registrations
14 states
CA
CO
FL
GA
IL
MI
NC
NJ
NY
OH
OR
SC
TN
TX
Advisor
Broker
Both
Exams
No exam information available for this advisor.