John Carl is a registered investment advisor at Rockefeller Capital Management, based in Albany, NY, with 28 years of industry experience. John 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
187 Wolf Road, Suite 300, Albany, NY, 12205
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Regulatory History
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.
Learn about disclosures →Other Business Activities
John is associated with Boogie Fish Property LLC, but the filing does not specify his role or the nature of the business.
Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Capital Management
Rockefeller Financial LLCBroker
Previous Registrations
Janney Montgomery Scott LLC
Janney Montgomery Scott LLCBroker
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Salomon Smith Barney INC.Broker
State Registrations32 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.