Stacy Swain
Stacy Swain is a registered investment advisor at Rockefeller Capital Management, based in San Francisco, CA, with 36 years of industry experience. Stacy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 35,950 clients with $70B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Rockefeller Financial offers investment advisory services for a fee, either as a flat annual dollar amount or as a percentage of the value of your portfolio. The specific fee will depend on the type of advisory service you receive and will be agreed upon with your advisor. The fees you pay may differ from those paid by other clients, based on factors like the scope and size of your relationship, the complexity of your needs, and your advisor's approach.
Location
Two Embarcadero Center, Suite 2320, San Francisco, CA, 94111
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Rockefeller Financial LLCBroker
Rockefeller Capital Management
Previous Registrations
First Republic Securities Company, LLCBroker
First Republic Investment Management, INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential-Bache Securities INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Waterhouse Securities, INC.Broker
State Registrations29 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.