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Frederick Farnsworth

Rockefeller Capital Management
45 Years of Experience
San Diego, CA
1 DisclosureBroker
View SEC Summary
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Frederick Farnsworth is a registered investment advisor at Rockefeller Capital Management, based in San Diego, CA, with 45 years of industry experience. Frederick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management. Their firm serves 6,490 clients with $37B in assets under management.

Rockefeller Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
347 advisors
Number of Clients
6,490 clients
Average Client Portfolio
$5.7M average
Assets Under Management
$36.8B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Fees vary by strategy, mandate size, and asset class. Equity strategies typically range from 0.50% to 1.5% annually, and fixed income strategies typically range from 0.10% to 0.75% annually. Private equity strategies charge up to 2.0% of committed capital plus carried interest. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3721 Valley Centre Drive, San Diego, CA, 92130

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2007
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frederick is a sole proprietor/owner of student housing (TGSL) since 2012, spending minimal time overseeing the property manager. He also owns Altitude Helicopters (education) and real estate (885 Crystal View Drive), and is a trustee for the Nancy Vos Trust.

Employment History
Current Registrations
Rockefeller Capital Management
February 2024 - Present · 2 yrs 8 mos
Rockefeller Financial LLCBroker
April 2022 - Present · 4 yrs 6 mos
Rockefeller Financial LLC
April 2022 - Present · 4 yrs 6 mos
Rockefeller Capital Management
April 2022 - Present · 4 yrs 6 mos
Previous Registrations
Morgan Stanley
November 2009 - May 2022 · 12 yrs 6 mos
Morgan StanleyBroker
June 2009 - May 2022 · 12 yrs 11 mos
Morgan Stanley & CO. IncorporatedBroker
October 2008 - June 2009 · 8 mos
Wachovia Securities, LLC
January 2008 - November 2008 · 10 mos
Wachovia Securities, LLCBroker
January 2008 - November 2008 · 10 mos
A. G. Edwards & Sons, INC.
July 1997 - January 2008 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
July 1989 - January 2008 · 18 yrs 6 mos
Thomson Mckinnon Securities INC.Broker
August 1984 - August 1989 · 5 yrs
Painewebber IncorporatedBroker
June 1981 - July 1984 · 3 yrs 1 mo
State Registrations12 states
AZCACOFLIDILMNNCNVORTXVA
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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