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Phillip Dobbs

Rockefeller Capital Management
15 Years of Experience
Winter Park, FL
Broker
View SEC Summary
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Phillip Dobbs is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Winter Park, FL, with 15 years of industry experience. Phillip 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

1100 Orange Ave, Floor 2, Winter Park, FL, 32789

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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

Phillip is an advisory board member for Florida Citrus Sports, a non-profit charitable organization, since 2016. He dedicates minimal time to this role, focused on community pride, tourism, economic development, and supporting charities and education.

Employment History
Current Registrations
Rockefeller Financial LLCBroker
February 2023 - Present · 3 yrs 8 mos
Rockefeller Capital Management
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2011 - February 2023 · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2011 - February 2023 · 11 yrs 5 mos
State Registrations32 states
ALCACOCTDCFLGAILINKSLAMAMEMIMNMTNCNJNYOHOKPARISCTNTXUTVAVTWAWIWV
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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