Adam D. Compton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam David Compton, who also goes by Adam D Compton, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1995. Adam had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2024 - October 10, 2024
ROCKEFELLER CAPITAL MANAGEMENT
January 30, 2020 - October 10, 2024
ROCKEFELLER FINANCIAL LLC
January 10, 2020 - October 10, 2024
ROCKEFELLER FINANCIAL LLC
November 27, 2018 - January 14, 2020
MORGAN STANLEY
October 25, 2018 - January 14, 2020
MORGAN STANLEY
January 23, 2002 - March 31, 2003
KEEFE, BRUYETTE & WOODS, INC.
March 23, 2000 - January 23, 2002
MORGAN STANLEY & CO. LLC
October 1, 1997 - March 17, 2000
BANC OF AMERICA SECURITIES LLC
November 7, 1996 - October 1, 1997
MONTGOMERY SECURITIES
October 20, 1995 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ROCKEFELLER CAPITAL MANAGEMENT
CRD#: 294197 / SEC#: 801-113009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROCKEFELLER CAPITAL MANAGEMENT
CRD#: 294197 / SEC#: 801-113009
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,530 |
| AUM (Assets Under Management) | $ 32,587,849,166 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 07/29/2024 | ||
| 10/27/2023 | ||
| 10/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
