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Robert Moon

Rockefeller Capital Management
32 Years of Experience
Stevensville, MD
2 DisclosuresBroker
View SEC Summary
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Robert Moon is a registered investment advisor at Rockefeller Capital Management, based in Stevensville, MD, with 32 years of industry experience. Robert 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

Stevensville, MD

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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.
Customer Dispute
December 2024
Settled
Customer Dispute
March 2006
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert is a hobby farmer, raising goats, cows, and pigs since 2016. He dedicates minimal time to this sole proprietorship.

Employment History
Current Registrations
Rockefeller Capital Management
November 2023 - Present · 2 yrs 11 mos
Rockefeller Financial LLC
November 2023 - Present · 2 yrs 11 mos
Rockefeller Financial LLCBroker
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2008 - November 2023 · 15 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2008 - November 2023 · 15 yrs 3 mos
Citigroup Global Markets INC.
June 1994 - September 2008 · 14 yrs 3 mos
Citigroup Global Markets INC.Broker
January 1994 - September 2008 · 14 yrs 8 mos
State Registrations17 states
CACTDEGAILMAMDNCNHNVNYOHSCTNTXVAWA
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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