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CFP
KH
CFP

Kevin Hermis

Rockefeller Capital Management
20 Years of Experience
The Woodlands, TX
Broker
View SEC Summary
View SEC Summary

Kevin Hermis is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in The Woodlands, TX, with 20 years of industry experience. Kevin 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
1028 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

9950 Woodloch Forest Tower, 4th Floor, The Woodlands, TX, 77380

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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 Capital Management
November 2022 - Present · 3 yrs 11 mos
Rockefeller Financial LLCBroker
November 2022 - Present · 3 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2020 - November 2022 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2020 - November 2022 · 2 yrs 8 mos
Baker Tilly Capital, LLCBroker
October 2019 - March 2020 · 5 mos
Baker Tilly Financial
October 2019 - March 2020 · 5 mos
United Capital Financial Advisers
August 2018 - October 2019 · 1 yr 2 mos
Mrz Financial Services LLC
October 2017 - December 2018 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - October 2017 · 8 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - October 2017 · 8 yrs
Banc of America Investment Services, INC.
May 2008 - October 2009 · 1 yr 5 mos
Banc of America Investment Services, INC.Broker
May 2008 - October 2009 · 1 yr 5 mos
Arvest Asset Management
March 2006 - May 2008 · 2 yrs 2 mos
Arvest Asset ManagementBroker
December 2005 - May 2008 · 2 yrs 5 mos
State Registrations27 states
ALAZCACODCDEFLGAILLAMAMSNCNHNYOHOKPAPRSDTNTXUTWAWIWVWY
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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