Alicia Romania Powell

Rockefeller Capital Management

15 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Rockefeller Capital Management

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

876 advisors

Number of Clients

35,950 clients

Average Client Portfolio

$1.9M average

Assets Under Management

$70.0B

Fee Structure

Location

Two Embarcadero Center, Suite 2320, San Francisco, CA, 94111

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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.

Employment History

Current Registrations

Rockefeller Capital Management

March 2023 - Present · 2 yrs 11 mos

Rockefeller Financial LLCBroker

March 2023 - Present · 2 yrs 11 mos

Previous Registrations

First Republic Investment Management, INC.

March 2016 - April 2023 · 7 yrs 1 mo

First Republic Securities Company, LLCBroker

March 2016 - April 2023 · 7 yrs 1 mo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 2011 - March 2016 · 4 yrs 7 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

January 2010 - March 2016 · 6 yrs 2 mos

State Registrations29 states

AKAZCACOCTDCFLIDILINLAMANHNMNVNYOHOKORPASCTNTXUTVAVTWAWIWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.