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CFP
MF
CFP

Michael Frey

Rockefeller Capital Management
28 Years of Experience
Cincinnati, OH
Broker
View SEC Summary
View SEC Summary

Michael Frey is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Cincinnati, OH, with 28 years of industry experience. Michael 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

3825 Edwards Road - Suite 630, Cincinnati, OH, 45209

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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

Michael owns rental property through 3330 Walworth Ave, LLC, since 2007. He spends minimal time on this activity.

Employment History
Current Registrations
Rockefeller Financial LLCBroker
September 2021 - Present · 5 yrs 1 mo
Rockefeller Capital Management
September 2021 - Present · 5 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 1999 - September 2021 · 22 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1998 - September 2021 · 23 yrs 1 mo
State Registrations31 states
AKALARAZCACOCTDCDEFLGAIAILINKYMAMDMIMTNCNJNVNYOHORPASCTNTXVAWA
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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