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CFP

Richard Bergman

Rockefeller Capital Management
27 Years of Experience
Chicago, IL
1 DisclosureBroker
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Richard Bergman is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Chicago, IL, with 27 years of industry experience. Richard 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 2011
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard is the board secretary for Maple Tower Condominium Association, dedicating minimal time per month. He also serves as an advisory board member and participant for the Jewish United Fund/Federation, spending minimal time annually on committee positions.

Employment History
Current Registrations
Rockefeller Financial LLCBroker
January 2021 - Present · 5 yrs 10 mos
Rockefeller Capital Management
January 2021 - Present · 5 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2011 - January 2021 · 9 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2011 - January 2021 · 9 yrs 2 mos
Mesirow Financial Investment Management, INC.
March 2006 - December 2011 · 5 yrs 9 mos
Mesirow Financial, INC.Broker
May 2002 - December 2011 · 9 yrs 7 mos
Mesirow Financial, INC.
May 2002 - December 2009 · 7 yrs 7 mos
Mercer Global Securities LLCBroker
June 1999 - October 2001 · 2 yrs 4 mos
Mercer Allied Company, L.P.Broker
December 1996 - August 1997 · 8 mos
State Registrations24 states
AZCACOCTDCFLGAIAIDILINMAMDMINCNJNMNYORTNTXUTWAWI
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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