Richard Bergman
Richard Bergman is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Chicago, IL, with 26 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 35,950 clients with $70B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Rockefeller Financial offers investment advisory services for a fee, either as a flat annual dollar amount or as a percentage of the value of your portfolio. The specific fee will depend on the type of advisory service you receive and will be agreed upon with your advisor. The fees you pay may differ from those paid by other clients, based on factors like the scope and size of your relationship, the complexity of your needs, and your advisor's approach.
Location
222 West Adams, Suite 2450, Chicago, IL, 60606
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Regulatory History (1)
Customer Dispute
December 2011Other 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
Rockefeller Capital Management
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Mesirow Financial Investment Management, INC.
Mesirow Financial, INC.Broker
Mesirow Financial, INC.
Mercer Global Securities LLCBroker
Mercer Allied Company, L.P.Broker
State Registrations21 states
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.