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Buffy Leonard

24 Years of Experience
Albany, NY
Broker

Buffy Leonard is a registered investment advisor at Rockefeller Capital Management, based in Albany, NY, with 24 years of industry experience. Buffy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 5,636 clients with $33B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
338 advisors
Number of Clients
5,636 clients
Average Client Portfolio
$5.8M average
Assets Under Management
$32.6B

Fee Structure

Investment management only (planning not offered)

RAM's fees for separately managed accounts typically range from 0.50% to 1.5% annually for equity strategies and from 0.10% to 0.75% annually for fixed income strategies, depending on the investment strategy and the amount invested. Some fixed income strategies are available at no fee to private wealth clients through a wrap fee program. The standard fee for the Long/Short Equity Strategy is 1.5% annually plus a 20% performance fee. The standard fee for the FinTech Venture Capital strategy is 2.0% annually plus a 20% carried interest. The standard fee for its Growth Equity strategy is a 2.0% annual investment advisory fee (with the fee rate stepping down after the investment period) and a 20% carried interest, subject to a preferred return.

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Location

187 Wolf Road, Suite 300, Albany, NY, 12205

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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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Employment History
Current Registrations
Rockefeller Financial LLCBroker
January 2025 - Present · 1 yr 8 mos
Rockefeller Capital Management
January 2025 - Present · 1 yr 8 mos
Rockefeller Capital Management
January 2025 - Present · 1 yr 8 mos
Previous Registrations
Janney Montgomery Scott LLC
April 2024 - February 2025 · 10 mos
Janney Montgomery Scott LLCBroker
December 2005 - February 2025 · 19 yrs 2 mos
Citigroup Global Markets INC.Broker
September 2002 - December 2003 · 1 yr 3 mos
Lehman Brothers INC.Broker
October 2000 - September 2002 · 1 yr 11 mos
Sg Cowen Securities CorporationBroker
February 2000 - October 2000 · 8 mos
State Registrations32 states
ALARCACOCTDCFLGAILLAMAMDMEMIMNMOMTNCNENHNVNYOHORPASCTNTXVAVTWAWI
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.