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CFP

Raymond Chase

Rockefeller Capital Management
39 Years of Experience
Florham Park, NJ
Broker
View SEC Summary
View SEC Summary

Raymond Chase is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Florham Park, NJ, with 39 years of industry experience. Raymond is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B in assets under management.

Rockefeller Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1037 advisors
Number of Clients
50,292 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$99.6B

Fee Structure

Planning is included in investment management (also available separately)
Minimum Annual Fee:$5,000
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

180 Park Ave, Suite 203, Florham Park, NJ, 07932

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Raymond advises and supports the executive director and votes on issues for the Fort Ticonderoga Association, a museum and historical site. This activity is not investment-related.

Employment History
Current Registrations
Rockefeller Financial LLC
April 2025 - Present · 1 yr 6 mos
Rockefeller Capital Management
April 2025 - Present · 1 yr 6 mos
Rockefeller Financial LLCBroker
April 2025 - Present · 1 yr 6 mos
Rockefeller Capital Management
April 2025 - Present · 1 yr 6 mos
Previous Registrations
UBS Financial Services INC.Broker
April 2012 - April 2025 · 13 yrs
UBS Financial Services INC.
April 2012 - April 2025 · 13 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 1997 - May 2012 · 14 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1996 - May 2012 · 16 yrs 3 mos
Smith Barney INC.Broker
July 1993 - February 1996 · 2 yrs 7 mos
Lehman Brothers INC.Broker
July 1987 - July 1993 · 6 yrs
State Registrations30 states
ALAZCACOCTDCDEFLIAINMAMDMINCNHNJNMNVNYOHOKPARISCTNTXVAVTWAWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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