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THE HOROWITZ GROUP

Family is always first. We bring families together.
A passion for helping multigenerational family businesses accelerate value and maximize growth.

At The Horowitz Group, we know family is everything. So when it comes to cherished family businesses, helping their owners is our passion.

Each of us here at The Horowitz Group has a personal experience with entrepreneurship. We understand what drives our clients each day. Just as familiar with their needs and challenges, we provide our multigenerational families with resources, knowledge and access. As part of Rockefeller Capital, our clients are able to participate in novel products and investment opportunities they won’t find anywhere else.

We focus our practice in the private markets, helping private companies with their financing and investment banking needs—and with accelerating and maximizing value in their businesses so they can harvest their equity when ready.

Beyond that, we assist families with shifting wealth from one generation to another. Our meetings, retreats and leisure events not only build knowledge, but bring families together.

Contact us to learn more about how The Horowitz Group can help you.

THE HOROWITZ GROUP

(424) 600-7960

10877 Wilshire Blvd
Suite 700
Los Angeles, CA 90024

“True wealth has to do with what we call ‘wealth and leisure’—being able to maintain your wealth and enjoy your leisure activities.”

Andrew D. Horowitz, Private Wealth Advisor

At the Horowitz Group, we understand the multigenerational aspects of the family-owned businesses we serve and do our best to educate, involve and bring families together while accelerating value and maximizing growth.

ANDREW D. HOROWITZ, CEPA

Senior Vice President
Private Wealth Advisor
ahorowitz@rockco.com
424-600-7960

NICOLE TANG, CFP®

Associate Vice President
Private Wealth Analyst
ntang@rockco.com
424-600-7961

KRISTINA CHARLES

Client Associate, Analyst
kcharles@rockco.com
424-600-7962

At The Horowitz Group, our mission is to serve you and your family. We are confidantes, counselors, and navigators, dedicated to managing the complexities of family and wealth.

CHLOE DUANSHI, CFA®

Head of Quantitative Research and Portfolio Construction

JOSEPH ROBERTS

Head of Wealth Strategy

ELISABETH MADDEN

President of Rockefeller Trust Company, N.A.

JACKIE C. KLABER

Head of Opportunistic Investing

DAVID O'LEARY

Senior Vice President, Head of Insurance and Annuity

BARRY A. WINTNER, CFA®

Head of Manager Approval

JIMMY C. CHANG, CFA®

Chief Investment Officer, Rockefeller Global Family Office 

CHERYL ROWAN

Investment & Portfolio Strategist – Chief Investment Office

KENNETH WILLETTS

National Wealth Advisory Services Manager- Wealth Strategist, SVP

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A leading private wealth practice...
Customized Investment Strategy Design

We diagnose and evaluate your financial situation and design a tailored investment strategy for you, combining long-term goals and near-term opportunities.

Portfolio Management & Optimization

We manage your complete financial ecosystem including tax & estate planning, insurance, retirement entities, and your investments.

Investment, Tax, & Legal Advisor Coordination

We work with your CPA to manage your investments in a tax-efficient manner and coordinate with your attorneys to help plan your estate, structure business transactions, and manage charitable donations.

Risk Management

We align your portfolio with your tolerance for risk and monitor your allocation for unexpected behavior in multiple market conditions.

Cash Management, Optimization, & Access

We handle all cash activity and cash equivalents including loans, banking products, and mortgages.

Ongoing Monitoring & Performance Analytics

We provide you with a high level of transparency through advanced analytics and regular meetings with our team.

merged with holistic advisory and family office services.
The Rockefeller difference is our combination of holistic and specialized services, designed to complement customized wealth planning and advisory.
  • Financial Accounting & Bookkeeping
  • Trust & Estate Planning
  • Tax Efficient Planning & Preparation
  • Family Legacy & Governance Advisory
  • Bill payment
  • Philanthropic advisory
  • Human Resources Services
  • Cash flow and liquidity planning
  • Next Gen Financial Education

Rockefeller Capital Management provides strategic advice to ultra-high-net worth families, family offices, individuals and corporations. Families that own businesses or are interested in purchasing a business can come to Rockefeller Capital Management for thoughtful, tailored advice on whether to sell a business, sell a portion of a business, purchase a business or grow an existing business.

Rockefeller Capital Management also works with corporations seeking customized, innovative solutions and independent advice on strategic transactions. Our focus is to deliver exceptional results for our clients through flawless execution and to help clients achieve their strategic goals.

Rockefeller Capital Management provides securities activities and services through Rockefeller Financial LLC, its registered broker-dealer, member FINRA, SIPC.

  • Differentiated, independent advice for entrepreneurs and business owners
  • Execution across private and public companies owned or operated by our clients
  • Mergers, acquisitions, divestitures, capital raises
  • Real estate advisory
  • Sports franchise advisory

Rockefeller Asset Management offers equity and fixed income strategies across active, multi-factor passive, and thematic approaches that seek outperformance over multiple market cycles, driven by a disciplined investment process and a highly collaborative team culture. Drawing on the intellectual capital built over the past 40 years, Rockefeller Asset Management offers investment solutions integrating ESG research and a constructive engagement approach.

Equity Strategies
  • We offer global, U.S., and non-U.S., thematic dedicated environmental, social and governance (“ESG”) equity strategies for institutions and individuals. A core differentiator of Rockefeller’s approach is our well established practice of constructively engaging shareholders in a way that drives long-term value creation across portfolios and improves ESG standards globally.
Fixed Income Strategies
  • We offer a range of tax-exempt and taxable fixed income strategies, serving high-net worth and family office clients. Our fixed income investment process employs an analysis of macro-economic conditions complemented by fundamental credit research set within a sophisticated risk management and portfolio construction framework.

Through a series of curated and vetted partners, we bring our clients and their families solution for lifestyle needs from everyday to the extraordinary.

Philanthropic advisory
• Philanthropy experts provide a functional foundation to help you build and manage your charitable program

Private Aviation
• A unique private aviation platform designed exclusively for Rockefeller Capital Management Clients

Concierge Healthcare
• Proactive health and wellness support, travel/emergency contingency 24/7 and complete management of any health concern.

Personal Security
• A total security solution tailored to each client and location, assessing their needs and goals.

Emergency Travel Services
• The world's leading organization providing medical, security, evacuation, travel risk and crisis management services.

Art Advisory
• A comprehensive, global services group for expert live and online auctions, art, jewelry, and other valuable collections.

Next Gen Advisory
• Career and life coaching for emerging professionals, as well as health and wellness resources for young adults.

Elder Care
• A unique benefit that can help with everything related to aging, elder care or special needs.

Virtual Specialty Care
• A virtual specialty care platform that leverages sophisticated technology to curate access to a network of leading doctors across 48 US hospitals for expert insights on specific health concerns.

Our Ideas
Planning in a Challenging Market
Planning in a Challenging Market
Rockefeller Insights
Uniquely Rockefeller Special Client Event – Jack Brennan
Uniquely Rockefeller Special Client Event – Jack Brennan
A Conversation with Jack Brennan, Chairman Emeritus and Senior Advisor to Vanguard
Fed will likely cap rates around 3.5%, says Rockefeller Capital Management's Greg Fleming
Fed will likely cap rates around 3.5%, says Rockefeller Capital Management's Greg Fleming
Gregory Fleming joins CNBC's "Squawk Box"
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ANDREW D. HOROWITZ

ANDREW D. HOROWITZ

Senior Vice President, Private Wealth Advsior

Connect with me on LinkedIn

 

Andrew Horowitz is a Private Wealth Advisor and leads The Horowitz Group of Rockefeller Capital Management.

Andy began his career by cleaning barnacles off boats at the age of 13. By his early 20s, he had built his business into a marine accessory manufacturing company that served major national accounts. He sold that business at age 25. Intrigued with the financial aspects of his business endeavors, Andy immediately established himself in the financial-services industry by joining a prominent municipal bond firm in Beverly Hills, California. 

The tug of his entrepreneurial spirit—and his keen observation that the distinct needs of high-net-worth families called for more customized wealth management solutions for multi-generational family owned businesses —led Andy to launch The Estate Management Group in 1996 through the nation’s largest independent broker-dealer. He sold that business in 2011 and transitioned his practice to various prestigious financial institutions. In 2020, he joined Rockefeller Capital Management to better serve the ever-increasing complexity of his clients’ sophisticated needs.

In addition to writing articles for various publications, Andy has shared his vast knowledge of wealth management, estate planning, business succession, exit planning, private equity and alternative investments as host of the radio show “The Wealth and Leisure Show” and as co-author of the book The Next Step for Business Owners.

He continues to educate high-net-worth families through presentations at numerous prestigious associations and multi-national companies, having spoken at more than 100 conferences. In addition, Andy, who is a Certified Exit Planning Advisor (CEPA), has contributed to the University of Southern California’s family-business program curriculum and is active in its entrepreneur program. In addition, he provides continuing education to CPAs, financial advisors, attorneys and trust officers on the subject of charitable tax planning and personal and business planning.

Andy’s interests include: golf, tennis, art, music, and scuba diving. A percussionist himself in a rock and jazz band, Andy is a supporter of several symphonies, the Grammy Foundation, the National Geographic Society.

Andy’s greatest achievement is his family; loving wife and three children.

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NICOLE Y. TANG

NICOLE Y. TANG

Associate Vice President, Private Wealth Analyst 

 

Born and raised in Hong Kong, Nicole has lived and worked in Beijing, China, and in the U.S., specifically in Connecticut, San Francisco, and Los Angeles. In China, she worked for a private-equity firm and a French-Canadian urban design firm. In the U.S., she was a teacher before becoming an independent financial services representative. In 2017, she joined the Horowitz Group, where she focused on client service and relationship management.

Nicole is passionate about helping clients align their values, goals and dreams with their finances. She is particularly interested in behavioral finance, philanthropy, and environmental, social and corporate governance (ESG) investing. She also cares deeply about helping multi-generational families manage their wealth and the crucial role of family dynamics in that process. She helps clients navigate the complexities of change and transition. In addition, she is a strong advocate for educating women and the rising generation when it comes to money and finance.

She earned her bachelor’s degree from Stanford University in East Asian Studies, her master’s degree in Spiritual Psychology from the University of Santa Monica, and a certificate in Personal Financial Planning from UCLA. Nicole has also earned her CERTIFIED FINANCIAL PLANNER™ certification. She is also a member of the NEXUS community which is a community of young social entrepreneurs, philanthropists and investors who are committed to creating a better world.

A lifelong learner, she enjoys attending personal development seminars. During weekends, Nicole can be found exploring museums, spending time with friends and dancing.

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KRISTINA CHARLES

KRISTINA CHARLES

Client Associate, Analyst

 

Kristina Charles is a Client Associate, Analyst at Rockefeller Capital Management for the Horowitz Group.

Prior to joining the Horowitz Group, she worked as a Client Associate and Financial Solutions Advisor with Bank of America/Merrill Lynch.  She earned her bachelor’s degree from UCLA majoring in Economics and African American studies.

In addition to her experience in the banking and financial industry, Kristina traveled abroad to study in South Africa for 6 months and partook in an international business competition in Russia. She and 4 other UCLA students won 1st place in their nonprofit pitch competition against Russian and Swiss students. 

Kristina is committed to making a difference in the lives of those less fortunate and volunteers with the Alumni council of Ready to Succeed; a nonprofit organization striving to help former foster youth graduate college and launch successful careers.

She is also a devoted wife and mother who loves spending time with her husband and daughter sharing moment’s outdoors, traveling, and singing.

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CHLOE DUANSHI, CFA®

CHLOE DUANSHI, CFA®

Head of Quantitative Research and Portfolio Construction

 

Chloe Duanshi is a Managing Director and the Head of Quantitative Research & Portfolio Construction for Rockefeller Capital Management. She is a member of the firm’s Management Committee.

As the Head of Quantitative Research & Portfolio Construction, Chloe is responsible for developing broad capital market outlook across asset classes as well as designing strategic and tactical asset allocation guidance for the Rockefeller Global Family Office. Chloe is also focused on working with clients to construct bespoke, institutional-caliber portfolios with traditional and alternative investment solutions, utilizing proprietary portfolio construction techniques that seek to identify and capture a diversified collection of unique, fundamental return drivers.

Before joining Rockefeller, Chloe was a cross-asset strategist at Morgan Stanley, where she specialized in asset allocation and portfolio construction for ultra-high net worth individuals, single family offices, endowments, and foundations. Prior to that, Chloe spent a number of years at BNP Paribas in equities and commodities derivatives.

Chloe received her B.S. degree, magna cum laude, from the Sibley School of Mechanical & Aerospace Engineering at Cornell University and M.A. degree in Mathematics from Columbia University. Chloe is a CFA® charterholder.

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JOSEPH ROBERTS

JOSEPH ROBERTS

Head of Wealth Strategy

 

Joseph Roberts is a Managing Director and Head of Wealth Strategy at Rockefeller Capital Management, based in Philadelphia, PA. He is a member of the firm’s Management Committee.

Prior to joining Rockefeller Capital, Joe worked for Zeke Capital, a National Multi-Family Office, and Abbot Downing, Wells Fargo’s Family Office. Joe started his career at PricewaterhouseCoopers in the Private Financial Services Consulting Group. Joe has spent his career advising families of unique wealth on their financial needs, including fiduciary administration, tax, wealth transfer, and risk mitigation. Joe is a member of the State Bars of Pennsylvania and New Jersey as well as the Tax Section of the American Bar Association.

Joe earned a J.D. and Masters in Taxation from Villanova University and B.A. from the University of South Florida.

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ELISABETH “LISI” MADDEN

ELISABETH “LISI” MADDEN

 President of Rockefeller Trust Company

 

Elisabeth "Lisi" Madden is the President of Rockefeller Trust Company, N.A. and a Managing Director of Rockefeller Capital Management. She is a member of the firm’s Management Committee. Prior to joining Rockefeller, Lisi was an associate with Milbank LLP for seven years, focusing on estate planning and administration of trusts and estates. Lisi holds a B.A. from the University of Pennsylvania and a M.Sc. from the London School of Economics. She also holds a J.D. from Vanderbilt University Law School and an Advanced Certificate in the field of Estate Planning from New York University School of Law. Lisi is a member of the New York State Bar Association.

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JACKIE C. KLABER

JACKIE C. KLABER

Head of Opportunistic Investing

 

Jackie C. Klaber is a Managing Director and the Head of Opportunistic Investing at Rockefeller Capital Management. She is a member of the Management Committee, the New Products Committee, the Manager Selection Committee, and the Rockefeller Capital NextGen Leadership Council. Jackie is responsible for sourcing and structuring differentiated alternative investment opportunities for the firm’s clients.

Jackie previously worked at Goldman Sachs & Co. in the Alternative Investments & Manager Selection division, where she was responsible for sourcing and diligencing a range of alternative investments over time, including in hedge funds, private equity, and credit. Jackie also served as a Business Unit Manager and as a Member of the Data Science Committee.

From 2012-2014, Jackie worked at Citigroup with the management team of the Investment Banking division. Prior to these roles, she graduated from Yale Law School / Yale School of Management, where she completed a J.D./M.B.A. and served as an editor of The Yale Law Journal. She has experience at the U.S. Department of the Treasury, Covington & Burling LLP, and the Yale Investments Office.

Jackie received a bachelor’s degree from Yale College and a master’s degree from Columbia University. She is a member of the New York State Bar Association and the Brookings Council as well as a Term Member at the Council on Foreign Relations. She serves on the Board of the Yale Law School Fund.

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DAVID O’LEARY

DAVID O’LEARY

Senior Vice President, Head of Insurance and Annuity

 

David O’Leary is a Senior Vice President and the Head of Insurance and Annuity at Rockefeller Capital Management. In this capacity he manages the insurance, annuity, private placement, long term care businesses, as well as the property and casualty and commercial insurance partnerships.

Prior to joining Rockefeller, David was Vice President, Wealth Strategies Group, at Ayco, a Goldman Sachs Company, responsible for the annuity business, private placement insurance, and led a nationwide team of specialists responsible for various insurance businesses. Prior to joining Ayco in 2009, he served as a Regional Vice President at the Equitable Life Ins. Co. responsible for distribution in the state of Maryland and as an Advanced Markets Attorney.

David is a trustee at Make-A-Wish Northeast New York.

He is a Cross and Crown, magna cum laude graduate from Boston College’s Honor’s Program, received his J.D. from Boston College Law School, and MBA from the Boston College Carroll School.

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BARRY A. WINTNER, CFA®

BARRY A. WINTNER, CFA®

Head of Manager Approval

 

Barry A. Wintner, CFA is the Head of Manager Approval and a Managing Director of Rockefeller Capital Management. He is a member of the firm's Management Committee. Barry is responsible for advancing the delivery of third-party investment solutions in support of our client advisors. Prior to joining Rockefeller Capital Management in 2013, Barry was Senior Vice President of Research and Investments at Protégé Partners. Prior to joining Protégé in 2008, Barry served in various capacities for Asset Alliance Corporation as Senior Managing Director of Research and Investments, and held positions as Director of Research, and Senior Analyst. Barry is a Chartered Financial Analyst ® charterholder. He received a B.A. in Physics from the University of Pennsylvania, an M.S. in Physics from Cornell University and an M.B.A. from the Johnson Graduate School of Management at Cornell University. He is also a member of the Board of Trustees and the Investment Committee of St. Barnabas Hospital in the Bronx.

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JIMMY C. CHANG, CFA®

JIMMY C. CHANG, CFA®

Chief Investment Officer of the Rockefeller Global Family Office

 

Jimmy C. Chang, CFA®, is the Chief Investment Officer of the Rockefeller Global Family Office. He is a member of the firm’s Management Committee and is a Chartered Financial Analyst®.

Jimmy has spent more than 18 years with Rockefeller. Prior to becoming the Chief Investment Officer in 2020, Jimmy was the Chief Investment Strategist and a Senior Portfolio Manager at Rockefeller Asset Management, where he co-managed several equity strategies and had oversight of the Fixed Income group.

Before joining Rockefeller in 2004, Jimmy was a Senior Vice President, Chief Technology Strategist, and Senior Technology Analyst at the U.S. Trust Company of New York, where he led technology equity research and co-managed a technology fund. He previously served as a Senior Marketing Representative and an Advisory Systems Engineer at International Business Machines Corporation (IBM) from 1985 to 1994, where he was responsible for client relationship management, business volume, and profit attainments at major international financial services and banking accounts.

Jimmy earned an M.B.A. in Finance/International Business from New York University and a B.S. (summa cum laude) in Electrical Engineering from The Cooper Union.

He is a member of the Tau Beta Pi National Engineering Honor Society. He serves on the Investment Committee of the Foundation for Contemporary Arts.

 

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CHERYL ROWAN

CHERYL ROWAN

Managing Director, Investment & Portfolio Strategist – Chief Investment Office 

 

Cheryl Rowan is a Managing Director, Investment & Portfolio Strategist at Rockefeller. She is responsible for assisting advisors in asset allocation and equity portfolio construction. As part of this role, Cheryl builds and maintains a suite of equity-related model portfolios appropriate for various investor goals. She also offers guidance along with specific portfolio recommendations for investor equity portfolios.

Prior to joining RCM, Cheryl spend over 30 years at Bank of America Merrill Lynch (BAML) in a variety of positions. Most recently, she was a ML Financial Advisor, managing equity assets for colleagues and managing wealth for high net worth clients. Before that, she spent 27 years in BAML Research, the last four as the co-head of Wealth Management Research. In that role, Cheryl co-authored the firm’s most-read publication and was responsible for all equity research content tailored for individual investors. Additionally, she was head of the Research Portfolios Group that constructed and managed nine equity portfolio models that were implemented in over 150,000 client accounts. While in BAML Research, Cheryl also sat on several committees, including the weekly stock selection committee, the diversity recruiting committee and served as head of Research recruiting at Cornell University. She was also a senior mentor for junior analysts and summer interns in the Research department.

Cheryl started her career at Merrill Lynch in the Corporate Development Program rotating through various product areas and spent ten years as an analyst on the Investment Strategy team within the Research division, using economic and momentum models to develop asset allocation and equity sector/industry strategy. In this role, she was a recipient of the President’s Award for outstanding contributions to the firm. She appeared frequently on financial network news programs such as CNBC, Bloomberg TV, CNN’s FN and was quoted in The New York Times, Fortune, Business Week, Smart Money, Time and Individual Investor. Cheryl holds an M.B.A. in finance/marketing from Cornell University and a B.S. in chemistry from Muhlenberg College.

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KENNETH WILLETTS

KENNETH WILLETTS

Senior Vice President, Senior Wealth Strategist 

 

Kenneth Willetts is currently a Senior Wealth Strategist at Rockefeller Capital Management. He provides estate planning, income tax and financial planning expertise to advisors and their clients as a part of a holistic approach to wealth management. Previously, Kenneth worked at Ayco Company from 1987 to 2019. There, he provided financial planning and wealth management to senior executives, as well as employees at all levels of Fortune 1000 companies. He was also a senior business unit manager for Southeast business in Atlanta, GA as well as a division in Albany, NY. Kenneth received a B.A. in Economics from Union College Schenectady, NY. He is a Series 7, 63, 65 and 24 license holder.

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