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Mark Dahl

Rockefeller Capital Management
27 Years of Experience
Houston, TX
1 DisclosureBroker
View SEC Summary
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Mark Dahl is a registered investment advisor at Rockefeller Capital Management, based in Houston, TX, with 27 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management. Their firm serves 6,490 clients with $37B in assets under management.

Rockefeller Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
347 advisors
Number of Clients
6,490 clients
Average Client Portfolio
$5.7M average
Assets Under Management
$36.8B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Fees vary by strategy, mandate size, and asset class. Equity strategies typically range from 0.50% to 1.5% annually, and fixed income strategies typically range from 0.10% to 0.75% annually. Private equity strategies charge up to 2.0% of committed capital plus carried interest. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1600 West Loop South, Suite 700, Houston, TX, 77027

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History

Regulatory History (1)
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Regulatory
June 2021
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Rockefeller Financial LLCBroker
January 2025 - Present · 1 yr 9 mos
Rockefeller Capital Management
January 2025 - Present · 1 yr 9 mos
Rockefeller Capital Management
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Morgan Stanley
August 2020 - February 2025 · 4 yrs 6 mos
Morgan StanleyBroker
August 2020 - February 2025 · 4 yrs 6 mos
UBS Financial Services INC.Broker
July 2012 - September 2020 · 8 yrs 2 mos
UBS Financial Services INC.
July 2012 - September 2020 · 8 yrs 2 mos
Usca RIA LLC
January 2012 - July 2012 · 6 mos
Usca Securities LLCBroker
September 2010 - July 2012 · 1 yr 10 mos
Lincoln Financial Advisors CorporationBroker
December 2009 - August 2010 · 8 mos
Lincoln Financial Advisors Corporation
December 2009 - August 2010 · 8 mos
UBS Financial Services INC.Broker
March 2008 - June 2009 · 1 yr 3 mos
UBS Financial Services INC.
February 2008 - June 2009 · 1 yr 4 mos
Banc of America Investment Services, INC.Broker
January 2005 - October 2006 · 1 yr 9 mos
Banc of America Investment Services, INC.
January 2005 - October 2006 · 1 yr 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
May 1999 - January 2005 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1999 - January 2005 · 5 yrs 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
September 1988 - December 1989 · 1 yr 3 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
November 1987 - September 1988 · 10 mos
State Registrations8 states
CACOILMINCNJOKTX
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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