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David Sassen

Rockefeller Capital Management
13 Years of Experience
Los Angeles, CA
1 DisclosureBroker
View SEC Summary
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David Sassen is a registered investment advisor at Rockefeller Capital Management, based in Los Angeles, CA, with 13 years of industry experience. David 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

1900 Ave of the Stars, Suite 1000, Los Angeles, CA, 90067

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History

Regulatory History (1)
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Criminal
January 2010
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Rockefeller Financial LLCBroker
August 2022 - Present · 4 yrs 2 mos
Rockefeller Capital Management
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2017 - August 2022 · 5 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2017 - August 2022 · 5 yrs 6 mos
Morgan Stanley
April 2015 - September 2016 · 1 yr 5 mos
Morgan StanleyBroker
April 2015 - September 2016 · 1 yr 5 mos
UBS Financial Services INC.
November 2012 - March 2015 · 2 yrs 4 mos
UBS Financial Services INC.Broker
October 2012 - March 2015 · 2 yrs 5 mos
State Registrations16 states
AZCACTDEFLGAHIMINCNVNYORPATXUTWA
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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