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Mark French

Rockefeller Capital Management
31 Years of Experience
The Woodlands, TX
2 DisclosuresBroker
View SEC Summary
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Mark French is a registered investment advisor at Rockefeller Capital Management, based in The Woodlands, TX, with 31 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, 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
1028 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
—
View Full SEC Brochure

Location

9950 Woodloch Forest Tower, 4th Floor, The Woodlands, TX, 77380

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History

Regulatory History (2)
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.
Employment Separation After Allegations
September 2021
Customer Dispute
July 2013
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Rockefeller Financial LLCBroker
December 2025 - Present · 10 mos
Rockefeller Capital Management
December 2025 - Present · 10 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
September 2021 - December 2025 · 4 yrs 3 mos
Stifel, Nicolaus & Company, IncorporatedBroker
September 2021 - December 2025 · 4 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2016 - October 2021 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2016 - October 2021 · 5 yrs 7 mos
UBS Financial Services INC.Broker
December 2008 - March 2016 · 7 yrs 3 mos
UBS Financial Services INC.
December 2008 - March 2016 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2005 - December 2008 · 3 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2005 - December 2008 · 3 yrs 10 mos
Wachovia Securities, LLC
July 2003 - February 2005 · 1 yr 7 mos
Wachovia Securities, LLCBroker
July 2003 - February 2005 · 1 yr 7 mos
Prudential Securities Incorporated
November 2000 - July 2003 · 2 yrs 8 mos
Prudential Securities IncorporatedBroker
November 2000 - July 2003 · 2 yrs 8 mos
The Robinson-Humphrey Company, LLCBroker
October 1995 - November 2000 · 5 yrs 1 mo
State Registrations28 states
ARAZCACOCTFLGAHIILINLAMOMSNCNENJNVNYOHOKORPASCTNTXUTVAWA
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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