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NP
CFP
NP
CFP

Nicholas Paget

Rockefeller Capital Management
24 Years of Experience
Bellevue, WA
Broker
View SEC Summary
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Nicholas Paget is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Bellevue, WA, with 24 years of industry experience. Nicholas 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

10500 NE 8th Street, Suite 875, Bellevue, WA, 98004

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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.

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Other Business Activities

Nicholas is the sole proprietor/owner of NA Bison LLC, an LLC formed in 2021 to hold private investments. He spends minimal time on administrative tasks related to this activity after business hours.

Employment History
Current Registrations
Rockefeller Financial LLCBroker
May 2022 - Present · 4 yrs 5 mos
Rockefeller Capital Management
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - June 2022 · 13 yrs
Morgan Stanley
June 2009 - June 2022 · 13 yrs
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
August 2005 - April 2007 · 1 yr 8 mos
Morgan Stanley Dw INC.Broker
August 2005 - April 2007 · 1 yr 8 mos
RBC Dain Rauscher INC.
September 2002 - September 2005 · 3 yrs
RBC Dain Rauscher INC.Broker
August 2002 - September 2005 · 3 yrs 1 mo
State Registrations33 states
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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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