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Stacey Specht

Rockefeller Capital Management
32 Years of Experience
Chicago, IL
1 DisclosureBroker
View SEC Summary
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Stacey Specht is a registered investment advisor at Rockefeller Capital Management, based in Chicago, IL, with 32 years of industry experience. Stacey 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
—
View Full SEC Brochure

Location

222 West Adams, Suite 2450, Chicago, IL, 60606

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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.
Customer Dispute
December 2009
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Rockefeller Financial LLCBroker
April 2025 - Present · 1 yr 6 mos
Rockefeller Financial LLC
April 2025 - Present · 1 yr 6 mos
Rockefeller Capital Management
April 2025 - Present · 1 yr 6 mos
Previous Registrations
Rockefeller Capital Management
April 2025 - November 2025 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2014 - April 2025 · 10 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2014 - April 2025 · 10 yrs 6 mos
UBS Financial Services INC.
October 2008 - October 2014 · 6 yrs
UBS Financial Services INC.Broker
August 2007 - October 2014 · 7 yrs 2 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - August 2007 · 4 mos
Morgan Stanley Dw INC.Broker
February 2000 - April 2007 · 7 yrs 2 mos
Vision Investment Services, INC.Broker
May 1999 - January 2000 · 8 mos
Focused Investments L.L.C.Broker
April 1997 - March 1999 · 1 yr 11 mos
Wayne Hummer Investments L.L.C.Broker
April 1995 - March 1999 · 3 yrs 11 mos
Selected Financial Services, INC.Broker
April 1992 - June 1993 · 1 yr 2 mos
State Registrations24 states
AKAZCACOCTDEFLGAILINMIMNMONCNJNVNYOHPRTNTXWAWIWY
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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