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Andrew T. Cathy is Chief Executive Officer for Chick-fil-A, Inc., one of the nation’s largest family-owned businesses. As CEO, Andrew is only the third person in the
company’s history to hold that title, following in the footsteps of his father, current Chairman Dan T. Cathy, and his late grandfather, Founder S. Truett Cathy.
With extensive experience working in Chick-fil-A restaurants and serving in multiple Support Center roles, Andrew is committed to ensuring the future of Chick-fil-A as a
healthy, purpose-driven, global organization devoted to making a lasting, positive impact on the people and communities it serves.
From 2019 until his appointment as CEO, Andrew was executive vice president of operations, overseeing the selection, cultivation and development of Chick-fil-A’s
franchised restaurant owners and leading the business operations of all Chick-fil-A restaurants. He joined the company’s Executive Committee in 2013 and served as
chief people officer from 2016 to 2019.
Andrew grew up with Chick-fil-A, learning the business and being prepared for leadership by his father and grandfather. He officially began his Chick-fil-A career in
2005 as Operator of the Tyrone Boulevard restaurant in St. Petersburg, Florida. In 2007, he joined Chick-fil-A’s Support Center staff as a franchisee consultant. He
later led franchisee selection for the company.
After earning a bachelor’s degree in business education at the University of Georgia, Andrew later completed executive studies at Stanford University as well as the
Families in Business program at Harvard Business School.
TIMOTHY LAFFEY
Head of Tax Policy & Research
Timothy Laffey is Head of Tax Policy & Research within the Global Family Office at Rockefeller Capital Management. In his role, Tim partners with colleagues across the organization in strategically advising clients with executive compensation, private equity, and multi-state taxation issues, as well as guide them through the implications of tax regulations while advising on tax strategies. He is also responsible for supporting our Family Office tax teams as well as setting tax policy for the Family Office.
Prior to joining Rockefeller, Tim was a Senior Vice President and Senior Wealth Planner in Wells Fargo Private Bank’s Regional Wealth Planning group and was a practicing attorney in the Personal Law group of Morgan, Lewis & Bockius. He has spent his entire career counseling and advising ultra-high net worth clients in all aspects of income, estate, gift and generation skipping transfer tax planning, as well as business succession and philanthropic planning. Tim started his career in the Private Client Advisors group of Deloitte Tax.
Tim earned his accounting degree from the University of Scranton, magna cum laude, and his J.D. and Masters of Law in Taxation from Villanova University School of Law. He is licensed to practice law in Pennsylvania and New Jersey.
TOM DAVIDSON
President, The Rockefeller Trust Company (Delaware)
Tom Davidson is the President of the Rockefeller Trust Company (Delaware). He is responsible for the overall management of the Delaware Trust Company including building and cultivating strong client relationships, fulfilling fiduciary responsibilities, and ensuring adherence to standards and practices. Tom offers innovative solutions to help remedy complex problems involving all aspects of trust administration. He has over 26 years of experience in the trust and estate industry with over 21 years of Delaware-specific trust administration, estate planning and fiduciary risk management.
Prior to joining The Rockefeller Trust Company (Delaware), Tom was President of a major international trust company in Delaware. Prior to that role, he was Director of Trust Administration for another major international trust company, also in Delaware. Previously, Tom was Trust Counsel for a prominent national trust company and he was in private practice with a boutique law firm in northern Maryland focusing on estate administration, estate planning, estate litigation, heir disputes and other fiduciary litigation matters. Tom is a veteran having served in the US Air Force as a Flight Engineer Supervisor.
Tom received his undergraduate degree from the University of Delaware and his law degree from Widener University School of Law. He is a member of the American Bar Association section of Real Property, Trusts & Estates, a member of the Delaware Estate Planning Council and a former member of the New Jersey State Bar Association and the Maryland State Bar Association.
MICHAEL OUTLAW
National Field Director, Rockefeller Global Family Office
Michael Outlaw is the National Field Director of the Rockefeller Global Family Office. In this role, Michael oversees the growth and service offerings for Rockefeller clients and advisors. Michael served as Divisional Director of Private Wealth Management for Rockefeller Capital Management from 2018 through 2021. He is also a member of the firm’s Management Committee.
Prior to joining Rockefeller, Mr. Outlaw joined from Morgan Stanley. Michael’s career at Morgan Stanley started in 1996 as a Private Wealth Advisor, as well as, a variety of other senior roles at the firm. Mr. Outlaw was promoted to Southeastern Head of Private Wealth Management in Atlanta, GA from 2011-2018.
Michael earned his MBA from the University of South Carolina. He is married to Laura Outlaw and has two sons, George and Parker.
Alexandra Peterson Cart is a co-founder of Trofi Holdings, a collective investment platform that leverages benefit-capital to support exceptional builders and initiatives with a vision to create a healthy, sustainable, and equitable food future. Additionally, she is a founding partner of Anása, a boutique advisory firm that identifies and participates in private deal flow globally, with an emphasis on Greece. Previously, Alexandra co-founded Madeira Global, a leading environmental, social and governance (“ESG”) advisory, analytics and reporting firm, which was acquired in 2020. For her work, Alexandra was named a Forbes “30 Under 30” Social Entrepreneur, a Tribeca Disruptive Innovation Fellow, and one of the WSJ “Women of Note.” She has a B.A. from Middlebury College in International Studies and Political Science with a specialization in Latin America Studies. She is a term member of the Council on Foreign Relations, where she serves on the Term Member Advisory Council. Additionally, Alexandra is an advisor to PATH, the refillable bottled water brand on a mission to end single-use plastic, and serves on the Advisory Council of Rockefeller Capital Management.
CHRISTOPHER DUPUY
President of Private Wealth Management & Co-Head of the Rockefeller Global Family Office
Chris Dupuy is President of Private Wealth Management and Co-Head of the Rockefeller Global Family Office. Prior to this role, Chris was the National Field Director for Private Wealth Management. He is also a member of the firm’s Management Committee.
Chris joined Rockefeller in 2018 from Focus Financial Partners, where he was a Managing Director and President of Focus Independence.
Prior to joining Focus in 2014, Dupuy spent 29 years with Merrill Lynch. Beginning as a Financial Advisor in the 1980s, Chris rose to senior leadership roles at Merrill Lynch, including National Sales Manager for Merrill’s 700 branches in the United States and Latin America. Chris would go on to become Chief Operating Officer of Merrill Lynch’s Americas Bank Group, Managing Director of the Merrill Lynch Global Investment Solutions businesses worldwide, and concluded his time at Merrill Lynch overseeing the firm’s Private Banking, International Private Client, and Wealth Management business units in California and throughout the Pacific Northwest.
TIMOTHY D. O’HARA
President of the Family Office & Co-Head of the Rockefeller Global Family Office
Timothy D. O’Hara is President of the Family Office and Co-Head of the Rockefeller Global Family Office at Rockefeller Capital Management. He is a member of the firm’s Management Committee.
Tim is responsible for leading a team of talented senior client advisors and multigenerational wealth planning experts, building upon Rockefeller’s rich history of serving ultra-high-net-worth families through an expanded offering of investment, tax and estate planning, strategic advisory, and trustee services, while creating access to strategic partnerships providing risk management and lifestyle-enhancing services.
Prior to joining Rockefeller in 2018, Tim was President and CEO of Ayco, joining in 1996 as a client advisor in the Ayco Family Office. He assumed roles of increasing responsibility, including Head of the Ayco Family Office and Executive Vice President of the Asset Management, Insurance, and Finance divisions.
Tim earned his bachelor’s degree in Accounting from Le Moyne College and his J.D. from Albany Law School. He is a Certified Public Accountant.
Tim serves as a Trustee of Albany Law School, on the Board of Advisors of Madden School of Business at Le Moyne College, on the Parents Executive Committee at Villanova University, and on the Board of GreenSlate.
CHRISTOPHER J. RANDAZZO
Special Advisor to the CEO
Christopher J. Randazzo is a Special Advisor to the CEO at Rockefeller Capital Management. Prior to this role, Chris served as President of Private Wealth Management and Head of Technology & Operations for the firm.
Prior to joining Rockefeller, Chris was the Chief Information Officer for Global Wealth Management and Investment Management at Morgan Stanley, where he was responsible for the strategic direction of technology platforms across the businesses. Before joining Morgan Stanley, he was the Chief Information Officer for Global Wealth and Investment Management at Bank of America Merrill Lynch. He joined Merrill Lynch in 1994 and held a variety of other senior technology roles at the firm.
Chris is a board member of the Wall Street Technology Association.
HEATHER FLANAGAN
Head of Trust Services
Heather Flanagan is Head of Trust Services for Rockefeller Capital Management. She is a member of the Management Committee. Prior to joining Rockefeller, Heather worked at HSBC Private Bank where she was Managing Director and Regional Head of Private Wealth Solutions. In this role, Heather led strategy and oversight of wealth planning, trust administration and insurance for North and South America. During her tenure, Heather added new capabilities for ultra-high-net-worth clients including a more internationally focused Delaware trust offering, domestic and international tax planning expertise and expanded their Philanthropy and Family Governance platform while serving as a member of the Global Private Wealth Solutions and US Private Bank Executive Committees.
Prior to HSBC, Heather worked at PNC Wealth Management where she led a team of wealth management professionals serving the financial and estate planning needs of high net-worth clients. Heather has extensive experience in Delaware trust planning and many years of private practice experience as a corporate, trusts and estates and tax attorney including establishing her own trust and estate law practice in Florida. Heather is a member of the international professionals group, Society of Trust and Estate Practitioners (STEP) as well as the state bar associations of Arizona, California, Florida, Nebraska, New York and Pennsylvania. She is a nationally recognized speaker and has been quoted in the New York Times, Bloomberg and Barons.
Heather obtained her undergraduate degree with distinction from University of Nebraska, a Master’s in Film Studies from University of California, Los Angeles, and a J.D. from Creighton University School of Law, where she obtained the Deans Merit Scholarship award. She also obtained her LL.M. in Taxation from the University of Florida as a Graduate Tax Scholar and is a Certified Specialist in Planned Giving through the American Institute for Philanthropic Studies at California State University, Long Beach.
R. MITCHELL THEISS
Executive Chairman, Strategic Advisory
Mitchell Theiss is Executive Chairman of Strategic Advisory for Rockefeller Capital Management. He is a member of the firm’s Management Committee.
Mitch brings to Rockefeller more than 30 years of investment banking experience, having served as a trusted advisor to companies across a broad range of industry sectors.
Prior to joining Rockefeller, he was at Bank of America Merrill Lynch for 19 years, most recently serving as Chairman of Global Industrials. Before joining Merrill Lynch, Mitch spent a decade in investment banking at Goldman Sachs.
Mitch earned an M.B.A. from The Wharton School of the University of Pennsylvania.
JIM RATIGAN
President, Strategic Advisory
Jim Ratigan is a Managing Director and President of Strategic Advisory for Rockefeller Capital Management. He is a member of the firm’s Management Committee.
In his role, Jim is a strategic adviser to senior executives and Boards of Directors of private and public businesses as well as acting as adviser and counselor to family owned businesses. In addition to his advisory work, Jim serves as a Managing Partner within the Executive Leadership Committee for Strategic Advisory, a group responsible for managing the day-to-day operations of Strategic Advisory and developing the longer-term strategic direction for the business.
Prior to joining Rockefeller, Jim served as a Senior Managing Director and Head of Mergers and Acquisitions (M&A) at SVB Leerink. He spent the first eighteen years of his career in the M&A group at Merrill Lynch before joining Deutsche Bank, where he was a member of the Global M&A Leadership team, serving as a Senior Managing Director and Head of Americas M&A.
Jim holds a Bachelor’s degree in Economics from Brown University.
DAVID K. SONG, M.D., PH.D., CFA®
Senior Portfolio Manager, Rockefeller Asset Management
David K. Song, M.D., Ph.D., CFA, is a Senior Portfolio Manager and a Managing Director within Rockefeller Asset Management. Mr. Song is responsible for the management of the Global Healthcare Strategy. Prior to rejoining the firm in 2015, he was with Millennium Partners where, as a senior analyst, he covered therapeutics companies and made investment recommendations for one of the firm’s healthcare long/short funds. Prior to joining Rockefeller in 2008, Mr. Song has also served as an Investment Analyst with Northview Group on their Black Forest Partners Fund and as an Associate Analyst with UBS covering biotech and medical devices. He is a Chartered Financial Analyst® charterholder. Mr. Song graduated Magna Cum Laude from Yale University with a B.S. in Economics, Molecular Physics and Biochemistry. He received an M.D. from the University of Pennsylvania School of Medicine and a Ph.D. in Healthcare Management and Economics from the Wharton School of Business.
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Rockefeller Climate Solutions Strategy
Climate change is a defining issue of our time. In 2012, we created the Rockefeller Climate Solutions Strategy, a portfolio of companies focused on producing climate mitigation or adaptation solutions that we believe will outperform equity markets over the long-term.
Casey Clark, Deputy CIO and Global Head of ESG Investments, discusses how climate change is transforming economies and markets, creating long-term opportunities for companies delivering products or services that help reduce greenhouse gas emissions and adapt to a changing climate. Read the article here
On December 9, 2020, we launched Rockefeller Climate Solutions UCITS Fund for non-U.S. investors.
Non-U.S. investors may learn more about this opportunity here
On July 22, 2021, we launched Rockefeller Climate Solutions 40 Act Fund for U.S. investors.
U.S. investors may learn more about this opportunity here
Contact us to learn more
ROLANDO F. MORILLO
Portfolio Manager, Thematic
Rolando F. Morillo is a Senior Vice President and serves as a Portfolio Manager for Rockefeller Asset Management’s thematic equity offerings, including the Climate Solutions Strategy. He also contributes across strategies as a Senior ESG Research & Engagement Analyst. Prior to joining the ESG Team, he worked as an Equity Analyst, focused on Latin America and renewable energy. Mr. Morillo worked at UBS Private Banking-Latin America Division as a portfolio assistant before coming to Rockefeller in 2000. He holds a B.S. in Environmental Economics and Geography from Rutgers University, has completed studies in Seville, Spain, and has obtained an Executive MBA from the Stern School of Business at New York University. Mr. Morillo serves on the board of directors for the foundation arm of the American Rainwater Catchment Systems Association (ARCSA).
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Charles DyReyes, CFA®
Director of Research, Rockefeller Asset Management
Charles DyReyes, CFA®, is a Senior Vice President and the Director of Research at Rockefeller Asset Management. Mr. DyReyes leads the equity research activities across active, multi-factor passive, and thematic approaches while overseeing a team of equity analysts and partnering with senior leadership on the development of equity investment strategies. Prior to joining Rockefeller, he was a Portfolio Manager for Invesco’s large-cap value strategies. Before joining Invesco in 2015, Mr. DyReyes served as a senior equity analyst with Brandywine Global Investment Management, where he focused on large-cap equities and assisted in launching and managing a global all-cap value equity product. From 2006 to 2010, Mr. DyReyes served as vice president and senior analyst at Defiance Asset Management, LLC, managing a value long/short equity portfolio. Before joining Defiance, he served as a vice president and portfolio manager with Viking Investment Group, managing a long/short equity portfolio. Mr. DyReyes has also served as an equity and high yield credit analyst with PENN Capital Management and as an equity analyst with the Glenmede Trust Company, where he began his investment career in 2001. Mr. DyReyes earned a B.S. degree in Finance from Lehigh University and retains the Chartered Financial Analyst® (CFA) charterholder designation.
Sheryl Tierney, CFA®
Director of ESG Integration, Rockefeller Asset Management
Sheryl Tierney, CFA® is a Senior Vice President and Director of ESG Integration at Rockefeller Asset Management. Ms. Tierney leads the ESG-integrated idea generation and investment process and is responsible for overseeing frameworks for materiality mapping, incorporating ESG metrics into valuation models, quantifying ESG improvement, and assessing climate risks and opportunities. Prior to joining Rockefeller, she evaluated ESG processes and ranked managers for inclusion in multi-asset and multi-manager portfolios as a senior research analyst at Russell Investments. Before Russell, Ms. Tierney spent two decades at First Eagle Investment Management, where she was a senior equity analyst covering healthcare and consumer stocks. She is the recipient of several industry awards, most recently 2019 Women in Asset Management. Ms. Tierney earned a B.A. from Boston College, where she graduated magna cum laude, a postbaccalaureate certification in Pre-Medicine from Columbia University, and retains the Charter Financial Analyst® charterholder designation.
ERIC KONIGSBERG
Chief Operating Officer, Rockefeller Asset Management
Eric Konigsberg is the Chief Operating Officer of Rockefeller Asset Management.
Eric has more than 22 years of experience in the financial industry, holding positions in investments, risk and technology throughout his career. Prior to joining Rockefeller, Eric was the Deputy Chief Investment Officer at Fiera Capital Inc, the US division of Fiera Capital Corp. While at Fiera he oversaw front-office technology implementation, FX hedging strategies, investment risk management and trading process improvement. In addition, Eric was also involved with investment strategy, quantitative risk reporting, product development/implementation, as well as manager and acquisition due diligence. During his time at Fiera, Eric co-led the buildout of the operating model for Fiera’s US Private Wealth business. Previously, Eric was the Chief Risk Officer at Larch Lane Advisors LLC, an alternative investments advisor that focuses on fund-of-hedge fund, liquid alternatives and hedge fund seeding products, and as a Vice President in the Risk Management and Quantitative Research Group at Ivy Asset Management. Eric started his career as a database and application developer at Bond Technologies, a technology consulting firm.
Eric completed his undergraduate degree at the University of Pennsylvania, with a BA in economics, and received his M.B.A. at New York University’s Leonard Stern School of Business. Eric holds the certified Professional Risk Manager certification by PRMIA, the Financial Risk Manager certification by GARP, the Chartered Alternative Investment Analyst Certification by CAIA and the Certified Product Manager certification by AIPMM.
JOSEPH D. 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.
James Rothschild is a Founder and Managing Partner of Tru Arrow Partners. Tru Arrow is a global growth technology firm built around family capital. Born and raised in London, James has been an investor for 15 years with his family as well as independent institutions. James began with training at Hargreave-Hale and Rothschild and Co in London before moving into real estate investment at Europe’s largest privately-held real estate developer, TriGranit, where he worked from the Budapest headquarters for three years. James moved to New York City in 2012 as a Partner with Lepe Partners, the TMT specialist investment and advisory firm. In this role, James was part of the growth stage technology investment practice responsible for sourcing, executing and managing a global portfolio of growth tech assets.
Subsequently, James co-founded West Arrow. West Arrow is an investment and advisory firm based in New York that has invested strategic family capital as well as leveraged global relationships to assist in the growth of global growth technology companies.
James is a Trustee of Yad Hanadiv (the Rothschild Foundation) where he also serves on the Finance and Audit Committee. Yad Hanadiv continues the tradition of Rothschild family philanthropy in Israel, where it was responsible for the Supreme Court and Knesset buildings in Jerusalem.
James serves on the Investment Advisory Committee of Windmill Hill Asset Management, the management company of certain Rothschild Family philanthropic endowments. James also serves on the Next Gen Advisory Council of Rockefeller Capital Management and the Strategic Advisory Board of IP Group (US), the early-stage science investment platform that partners with university laboratories to commercialize scientific IP. James is honored to be a part of the 2020/21 Nominating Committee for the Justice Ruth Bader Ginsburg Woman of Leadership Award.
James is authorized and regulated in the US by FINRA under Series 63, SIE and Series 79.
JACK RYAN
Chief Operating Officer
Jack Ryan is the Chief Operating Officer of Rockefeller Capital Management and a member of the firm’s Management Committee. He is a global leader with over 25 years of human capital and operations experience and joined Rockefeller in 2018 from General Electric. At GE, Jack was responsible for GE’s executive & leadership development programs, including succession planning, Diversity, and leading the world-renowned Crotonville Leadership Development Institute, in addition to all global learning operations. For the six years prior, he was the top human capital leader for GE’s financial services business – GE Capital. He also spent 20 years in GE’s Industrial businesses leading global teams. Jack is a graduate of General Electric’s Human Resources Management Program and has a bachelor’s degree in Industrial and Labor Relations from Cornell University. Jack holds his Series 7 and 24 licenses.
Jack serves on the Board of Directors of Auburn Seminary – a leading multi-faith social justice organization and is a member of the Board of Trustees for the Boys & Girls Clubs of Boston. He also serves on the Martha & Spencer Love School of Business School Board of Advisors at Elon University.
MICHAEL SEO, CFA®
Portfolio Manager
Michael Seo, CFA, is a Managing Director and Portfolio Manager of our Global Equity strategies at Rockefeller Asset Management. He joined Rockefeller in 1999 as a Performance Analyst and subsequently assumed the role of Equity Analyst covering the global industrials sector and the role of Director of Equity Research. Mr. Seo is a Chartered Financial Analyst® charterholder and received a B.S. in Finance and Information Systems from the Stern School of Business at New York University.
CASEY C. CLARK, CFA®
Deputy Chief Investment Officer and Global Head of ESG Investments, Rockefeller Asset Management
Casey C. Clark, CFA, is a Managing Director and Deputy Chief Investment Officer (CIO), Global Head of ESG Investments, and Portfolio Manager at Rockefeller Asset Management. In this role, he is responsible for helping to generate alpha and positive outcomes while overseeing teams that specialize across three core ESG-integrated investment functions: (1) Fundamental research, (2) Quantitative research and (3) Shareholder engagement. Mr. Clark also serves as a Portfolio Manager on thematic equity offerings, including Rockefeller’s Climate Solutions Strategy and the Credit Suisse RockefellerSM Ocean Engagement Strategy. Additionally, he is a member of Rockefeller Capital Management’s Management Committee and leads Sustainable Investing efforts across the broad organization. Prior to joining Rockefeller in 2019, Mr. Clark worked as Managing Director and Director of Sustainable and Impact Investing at Glenmede, where he helped launch and build Glenmede’s sustainable and impact investing business.
Mr. Clark has authored numerous investment and sustainability-related publications and has been featured in print and broadcast media segments. He is a graduate of Pennsylvania State University, earned his MBA from the Stern School of Business at New York University (NYU) and retains the Charter Financial Analyst® charterholder designation. Mr. Clark is also an Advisor to NYU Stern’s Center for Sustainable Business.
JOSEPH MARTELLA
Head of Technology Support & Services
Joe Martella joined Rockefeller Capital Management in February of 2020. He is a member of the Firm’s Management Committee. He brings with him 30+ years of experience in senior management positions in Enterprise Technology and Global Wealth Management organizations for Wall Street firms including Morgan Stanley (6 years), Bank of America Merrill Lynch (17 years), Bankers Trust Company (7 years) American Express, and Paine Webber. Joe has a long history of managing engineering, integration and support organizations across the entire landscape of infrastructure technology and services and has led groups responsible for numerous distributed technologies including desktop and server hardware, Windows/Linux/Unix operating systems, build automation, storage, data and voice networking, market data, video, collaboration, directory services and cloud infrastructure.
Joe is currently a Managing Director in Rockefeller Capital Management Technology organization where he has responsibility for implementation and support of end user technology solutions including Service Desk, Client Support, cloud applications and services, operating systems, hardware, data protection, remote access, build automation, identity services and authentication, operating system and application virtualization, remote access, mobile solutions for all RCM businesses.
Joe holds a BA in Corporate Finance from Baruch College in New York. He is a native of Brooklyn, NY and currently resides in Florence Township, NJ.
NANCY M. FINK
Senior Portfolio Manager
Nancy M. Fink is the Senior Portfolio Manager responsible for U.S. Small Capitalization Equities and a Managing Director of Rockefeller Capital Management. Prior to joining Rockefeller in 1987, Ms. Fink worked for Webber & Doepke, a real estate investment company. Ms. Fink received an M.B.A. in Finance from Adelphi University and a B.A. in Business Administration from Saint Michael’s College. In 2005, she received an Honorary Degree from Saint Michael’s College. Ms. Fink is a former trustee of Saint Michael’s College and former Chair of the college’s endowment fund investment committee. She is also a former member of the finance committee of the Rockefeller Family Fund. She currently chairs the investment committee of the Society of Saint Edmund and is a Trustee for the Cornelia Connelly Center, a middle school for girls on the lower east side of New York City.
KATE ASHFORTH HURLEY
Kate is a member of Spencer Stuart’s Technology, Media & Telecommunications and CEO practices. She works with a range of organizations, spanning Fortune 100 companies to high-growth media and technology startups, helping them to recruit CEOs and general managers, chief revenue officers and chief marketing officers, as well as other core members of the leadership team. Kate often works at the intersection of the technology and consumer industries, and has expertise in media, consumer internet, direct-to-consumer, e-commerce, marketing/advertising technology and software. She also brings deep experience recruiting next-gen board directors and leaders, identifying rising stars to help organizations on their digital transformation journeys. In addition, she contributed to the development of The Career Playbook and the related interactive training experience. Passionate about conservation, Kate serves on the board of the Norwalk Maritime Aquarium. Prior to Spencer Stuart, Kate was responsible for marketing and new business development initiatives at sports agency Octagon Worldwide. She received her B.A. from Brown University, where she was a two-sport Division I athlete.
ADAM ROCKEFELLER GROWALD
Adam Rockefeller Growald is an alignment investor, philosopher, and philanthropist. He invests in and advises organizations that align value with values, head with heart, and inspiration with action. Adam speaks about investing, philanthropy, and spirituality, and has presented at numerous conferences and gatherings on topics ranging from holistic wellness to impact investing to family business.
Adam has been studying philosophy and wisdom traditions both in and out of the academic system for over a decade, and received his BA in Philosophy from Princeton University. He has worked as a management and brand strategy consultant at Bain and Lippincott, and now applies philosophical insight to his investing, board service, and advisory work to create paradigm-shifting evolution in business strategy, organizational culture, and interpersonal relationships. Adam is co-founder of The Alignment Circle, Principal at Tree of Life Ventures, and an advisor to FullCycle and Thankful. His board memberships include the Rockefeller Family Fund, the Growald Family Fund, Lifestyles Magazine, and the National Center for Family Philanthropy.
William Rockefeller works for the Winrock Group, Inc., which has holdings in automotive dealerships, real estate development, row crop farming, and cattle ranching. William served on the staff of U.S. Senator John Boozman from 2011 until 2016. He served as a Legislative Correspondent in Senator Boozman’s Washington, D.C. office, before being promoted to Projects Director for western Arkansas. As Projects Director, he handled infrastructure and economic development projects affecting communities in western Arkansas; acted as liaison between constituents and the Corps of Engineers and Interior Department agencies; handled water, waste water, and land issues; and spearheaded special projects for Senator Boozman.
William earned a B.A. in history from Rhodes College in 2010 and an M.B.A. from the University of Arkansas in 2018. He is currently pursuing a master’s in real estate development from Georgetown University
Ryan Rockefeller has spent the last decade as a serial entrepreneur, inventor, investor, and artist. For the past four years, Ryan has served as cofounder and CEO of Liyo, a social music streaming platform. He is currently in the process of selling the company to Muzik Connect, a smart headphone maker, where he will work while simultaneously attending Columbia Business School’s Executive M.B.A. Program. Ryan has also been an avid angel investor and is President of R2 Ventures, an early-stage venture fund he cofounded with his brother.
Prior to his work with startups, Ryan pursued music professionally, performing in venues around NYC in a band and as a solo artist. He has also been an active student of sculpture and painting. In the nonprofit sector, he sits on the Boards of Rockefeller Philanthropy Advisors and Art21, a Peabody Award–winning organization dedicated to producing documentaries of the world’s most esteemed artists. Ryan holds a B.A. in religion and a certificate in urban planning from Princeton University.
Justin Rockefeller is Global Director of Family Offices and Foundations at Addepar, the financial operating system designed to bring common sense and ethical, data-driven investing to our financial world.
Addepar serves, pro bono, as the transaction-level data platform for The ImPact, a social enterprise Justin cofounded to increase the probability and pace of solving social problems by improving the flow of capital to businesses creating measurable social impact. The ImPact provides families with the knowledge and network they need to make more impact investments, more effectively. Those who make The Pact commit to 1) explore the impact of all of their investments, and 2) invest to create measurable social benefit.
Since 2009, Justin has served on the board and the investment and audit committees of Rockefeller Brothers Fund; he helped steer the private foundation toward mission-aligned investing of its endowment. He also serves on the board of Japan Society.
In 2002, Justin received a B.A. from Princeton University. Justin is married, has one daughter, and lives in New York City.
Hall Rockefeller is an art historian and the founder of less than half, an art criticism website covering the solo shows and goings-on of women artists in New York City. Previously, Hall served as the Warshawsky Fellow at the Cleveland Museum of Art. She has also worked at the Marina Abramovic Institute and the Rosenberg & Co. Gallery.
She holds both a bachelor’s and a master’s degree in the History of Art, from Yale and the Courtauld Institute of Art, respectively.
Ariana Rockefeller is a 5th generation member of the John D. Rockefeller family, an equestrian athlete and founder of her brand Ariana Rockefeller, LLC. She is a Trustee of her Grandfather’s foundation, The David Rockefeller Fund; a board member of God’s Love We Deliver, and a Junior Associate of the Museum of Modern Art. She graduated from The Ethel Walker school for girls, and Columbia University with a BA in political science. She is pleased to serve on the Next Generation Advisory Council of Rockefeller Capital Management.
ALEXA RACHLIN
Alexa Rachlin is a Principal at Declaration Partners LP focusing on strategic investments. Alexa has over twelve years of investment experience, most recently serving as an Investment Director at Cambridge Associates in the firm’s Private Practice where she worked with family offices on asset allocation and manager selection. Previously Alexa worked at Goldman Sachs in Private Wealth Management advising clients with assets from $10m – $1bn+ on fixed income, equities, hedge funds and private equity. Alexa started her career at Morgan Stanley in real estate investment banking. Alexa holds a Bachelor’s degree, cum laude, and an MBA with distinction from Harvard University.
MAHUM JAMAL
Mahum Jamal is currently an MBA-MFA dual degree candidate at NYU Stern School of Business and NYU Tisch School of the Arts. Prior to NYU, Mahum founded the production company Doe-eyed Pictures and wrote, directed, and produced the feature film A Good Dream (2018). Her experience spans media strategy, content development, and film production.
Mahum attended Barnard College at Columbia University where she received a Bachelor of Arts degree in Film Studies with a minor in Religion. Her interests include projects that showcase stories from marginalized communities.
Alexandra is a partner and board member of Rosehill Investors, where she focuses on strategic growth investments and philanthropic initiatives. She began her career in Morgan Stanley’s private equity and investment banking division and has held leadership roles in both the retail and beauty sectors at Michael Kors and Charlotte Tilbury Beauty.
Alexandra is a founding member of MaverickNext and a founding co-member and Giving Circle Associate of Maverick Collective. She is also a member of Nexus Global, President of the Idol Family Foundation, and an active junior board member of both God’s Love We Deliver and Harlem Academy.
Alexandra received an M.B.A. from the Wharton School of the University of Pennsylvania, with a double major in Operations and Entrepreneurial Management, and a B.S.B.A. from Villanova University, with majors in Marketing and Finance.
SURAJ K. GUPTA
Suraj K. Gupta is the Co-Founder, President and CEO of Rogue Insight Capital, the CIO for the Easton’s Group of Hotels & the Gupta Group, and the CSO for the Gupta Family Foundation. Rogue Insight Capital is a venture capital and alternative asset investment fund that invests on behalf of the Gupta family, co-founded by Suraj and his sister Reetu, focused on visionaries who dare to transform the world around them. Rogue’s primary mandates include investing in female, immigrant, and minority founders, as well as companies that are making a social impact on their community. The Easton’s Group of Hotels is one of Canada’s largest private hotel developers, with a portfolio of over 20 hotels across Canada, and the Gupta Group is a large residential condominium developer in Toronto. Suraj and his sister, Reetu Gupta, have recently re-imagined and re-launched their family philanthropic organization, the Gupta Family Foundation. Through the Foundation, the family focuses on global equality and education, including projects to build solar powered schools in Uganda, Mozambique, and India as well as other philanthropic endeavors. Suraj was invited by the United Nations as a Special Delegate to discuss the future of Youth Innovation and Resilience. Suraj completed his MBA from Columbia Business School after working in the finance industry for several years with RBC in commercial real estate, foreign exchange trading, and futures and derivatives sales.
AMANDA EDELMAN
Amanda Edelman is a member of the Rockefeller Next Gen Advisory Council. She is interested in the intersection of the public and private sectors and aligning social and financial value. Most recently, Amanda has worked with Edelman’s Corporate Affairs team in Washington, D.C. and will be joining Edelman’s London office working with ESG and Purpose clients for the 2021 summer.
Amanda has previously worked for Pursuit, a social enterprise focused on increasing inclusion within the tech sector by providing coding training to low-income adults, and Grameen America, a microfinance nonprofit that provides small business loans to underserved women in the US. She has also worked for the Boston Consulting Group.
Amanda is currently attending Harvard Business School and graduated from Stanford University with degrees in International Relations and Feminism, Gender, & Sexuality Studies. In her spare time, Amanda enjoys visiting the many museums and historic spots that New York City has to offer and reading as many books as she can get her hands on.
Mac Broderick is Executive Director, Merchant Strategy for Castleton Commodities international (CCI). He previously worked in strategy and business development for Tellurian, Inc. a Houston-based energy company. He is a passionate advocate for all-of-the-above solutions to climate change. Prior to his work in energy, he worked in investment management in Russia and Ukraine.
Mac is a director of Rockefeller Philanthropy Advisors, a nonprofit focused on fostering thoughtful, effective philanthropy. He is also a term member of the Council on Foreign Relations and a member of the Atlantik-Brücke.
He received his undergraduate degree from Georgetown University’s School of Foreign Service, where he was the Editor-in-Chief of the Georgetown Journal of International Affairs, the school’s flagship publication. He holds an M.B.A. from the Wharton School of the University of Pennsylvania, in global investment management, and an M.A. in energy economics and international relations from the Nitze School of Advanced International Studies (SAIS), Johns Hopkins University. A sixth-generation member of the Rockefeller family, Mac is a graduate of Groton School and a native Detroiter.
Lauren Bieker graduated from Gonzaga University with degrees in Business Marketing and English. Lauren studied fashion at the Fashion Institute of Design and Merchandising in her hometown of Los Angeles and subsequently worked as a buyer for an online retailer. After her decision to focus on writing and work in publishing, Lauren participated in a writing intensive program with the National Academy of Writing at the University of Cambridge’s Pembroke College in the UK. Currently, Lauren is working at her dream job as a literary agent for FinePrint Literary Management in New York City. Her goals include giving voice to people’s stories, especially those who have not had their chance at the mic yet. Lauren is also the eldest member of the fifth generation of the Cowles-Hammett family. Her goal is to continue the legacy set forth by earlier generations and put to practice the paraphrased message; with great privilege, comes great responsibility.
KALEEN ALLYN
Kaleen Allyn oversees a Private Investment Platform for 50 State LLC, a private family office based in Skaneateles, New York. She focuses on strategic investments across private equity, real estate, venture capital, and direct investments.
Prior to joining 50 State, Kaleen worked for five years at Rockefeller Capital Management in the alternative investment and wealth management divisions. As an Alternative Investment Product Specialist, her team built an open architecture menu of best-in-class alternative investment products including hedge fund, private equity, and real estate managers for high-net-worth individuals, families, and foundations.
Kaleen serves on the Board of Directors, as well as the Investment Committee and Finance Committee, of the Allyn Family Foundation. The Foundation is committed to building a vibrant, equitable, and prosperous community in central New York. She also serves on the Investment Committee of Nolan-Jones LLC, a private investment vehicle.
Kaleen has a B.A. from Gettysburg College in Psychology and Business. She also serves on the Gettysburg College Entrepreneurship and Social Innovation Initiative Advisory Council.
JOHN SHELDON
John Sheldon is a Managing Director in the Strategic Advisory group at Rockefeller Capital Management, focused on Mergers and Acquisitions, Capital Raising and Strategic Advice.
Mr. Sheldon has more than 35 years of Investment Banking experience as a trusted advisor across a broad range of industry sectors. During his career he has worked in senior client-facing roles at Goldman Sachs, JPMorgan and Lazard, among other firms.
Mr. Sheldon has worked closely with numerous leading public companies and has extensive experience in working with closely-held firms on a full range of Strategic and Financial advisory projects. While Mr. Sheldon has deep experience in advising companies in numerous industries, he has particularly deep experience advising Consumer and Retail companies, having previously been the Co-Head of Consumer Retail Investment Banking at J.P. Morgan. In addition, he has many internationally-based client relationships and significant experience in Cross-Border Transactions.
Mr. Sheldon earned his B.A. in Political Economics from Bennington College and his M.B.A from the Harvard Business School.
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ELISABETH MADDEN
Senior Trust & Estate Advisor
Elisabeth “Lisi” Madden is a Managing Director and Senior Trust & Estate Advisor at Rockefeller Capital Management.
Prior to joining the 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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Gregory J. Fleming is the Chief Executive Officer of Rockefeller Capital Management, a role he has held since the firm, formerly known as Rockefeller & Co., launched in March 2018. He is also a member of the Board of Directors.
Prior to leading Rockefeller Capital Management, Greg was the President of Morgan Stanley Wealth Management and Morgan Stanley Investment Management. Before joining Morgan Stanley in 2010, he served as President and Chief Operating Officer of Merrill Lynch, from 2007 to 2009, and previously ran Merrill Lynch’s Global Investment Banking business. Greg joined Merrill Lynch as an investment banker in 1992. He had also been a principal at Booz Allen Hamilton.
He is a former director of Colgate University, a member of the Board of Advisors for the Yale Law School Center for the Study of Corporate Law, a member of the Council on Foreign Relations, a member of the Economic Club of New York and a trustee at Deerfield Academy. He also serves as an Advisory Director on the board of the Miami Marlins, a Resource Council member of the Turn 2 Foundation and serves on the Advisory Board of COVR, an innovative financial services startup.
Greg is a Phi Beta Kappa, summa cum laude graduate of Colgate University with a bachelor’s degree in Economics. He received his J.D. from Yale Law School.
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BRETT THELANDER
Managing Director, Divisional Director
Brett Thelander is the Divisional Director for Private Wealth Management in the Midwest where he leads the continued growth of our current locations as well as our strategic expansion into new markets. He is a member of the firm’s Management Committee.
Prior to joining Rockefeller, Brett worked at Merrill Lynch where he served as Regional Managing Director for the Mid-America Market of the Private Banking and Investment Group. Brett began his industry career as a financial advisor, and later moved into management where his executive positions included director of sales complexes in Oklahoma and Ohio, and regional head of the wealth management business in Southern California and the Midwest. Brett is widely respected across our industry as a skilled executive with an impressive track record of building and leading client-focused, principled, and entrepreneurial teams and organizations.
Brett earned his Master of Business Administration degree from the University of Colorado.
EMILIANO ROMAN
Emiliano Román is a Managing Director and Head of Consumer and Retail at Rockefeller Capital Management. Emiliano is based in New York and leads Rockefeller’s strategic advisory, capital raising and merchant banking activities across the consumer and retail industry.
Mr. Román has over 15 years of experience in M&A advisory, capital markets and principal investing. Over the course of his career, he has completed over $100 billion in transactions across a broad range of consumer-facing industries. He has significant cross-border advisory and global capital markets experience and has executed transactions in North America, Latin America, Europe and Asia.
Prior to joining Rockefeller Capital Management in 2020, Mr. Román served as a Managing Director at Morgan Stanley in New York, where he was responsible for senior coverage of corporate and financial sponsor clients, as well as family-owned and founder-led businesses in the consumer and retail sector globally. While at Morgan Stanley, from 2011 to 2020, Mr. Román led the origination and execution of a variety of strategic advisory assignments that included mergers, acquisitions and divestitures, as well as capital markets transactions across debt and equity products. Earlier in his career, from 2004 to 2011, Emiliano was an investment banker in the Global Consumer Products & Retail and Mergers & Acquisitions groups at UBS Investment Bank in New York.
Mr. Román holds a B.B.A. and an M.S. from Texas A&M University, where he serves on the Dean’s Advisory Board at Mays Business School and is a guest lecturer at the University. He also serves on the board of Glasswing International, a non-profit organization that operates health, education and community development programs for underprivileged children throughout Latin America.
GRACE YOON
Head of Business Development & Strategic Partnerships
Grace Yoon is Head of Business Development & Strategic Partnerships for Rockefeller Capital Management. She is a member of the firm’s Management Committee.
As Head of Business Development and Strategic Partnerships, Grace is responsible for deepening client relationships and elevating client engagement for the Global Family Office. In this role, Grace is focused on enhancing the overall client experience, including engagement with women and next-generation family members, and building customized Sustainability and Impact investing solutions for clients. She is also responsible for curating and managing key relationships with strategic partners.
Prior to her current role, Grace was Chief Marketing Officer for the firm. Grace joined Rockefeller in March 2018 as Chief Operating Officer of Strategic Advisory and Head of Strategic Initiatives.
Before joining Rockefeller, Grace was a Managing Director at Morgan Stanley, responsible for driving wealth and asset management growth with investment banking clients. Prior to that, Grace spent a number of years at Bank of America Merrill Lynch in investment banking and equity capital markets and was a Director in investor relations for Merrill Lynch during the financial crisis.
Grace, a graduate of Phillips Exeter Academy, earned a bachelor’s degree in Economics from Brown University and an M.B.A. in Finance from the Leonard N. Stern School of Business at New York University.
She is a member of the Board of Directors of Invest in Girls.
JANET WELCH
Chief Operating Officer, Family Office
Janet Welch is a Managing Director and the Chief Operating Officer for Family Office at Rockefeller Capital Management. She is also a member of the Firm’s Management Committee.
In her role, Janet partners closely with colleagues in building out the operating platform for Family Office, and has oversight of Operations, Family Office Technology initiatives, Business Management, Bill Concierge, Tax Preparation Services, Financial Reporting, Marketing, and Finance.
Prior to joining Rockefeller, Janet was the Deputy Chief Operating Officer for the Dalio Family Office. While there, she oversaw transformation efforts, program management, the finance and accounting organization, and business continuity. Most recently, Janet was responsible for leading the transformation of key portions of the family office operations including the creation of a holistic security and risk program and the build-out of Human Resources capabilities. Previously, Janet held increasingly senior roles at organizations including Diageo North America, QSP Inc., and IBM. Janet completed her undergraduate degree at Rutgers University and received her M.B.A. at Pace University’s Lubin School of Business.
AVERY SHEFFIELD
VantageRock Co-Founder & CIO, Senior Portfolio Manager
Avery Sheffield is a Managing Director and Co-Founder, Chief Investment Officer & Senior Portfolio Manager of VantageRock, a long/short equity hedge fund within Rockefeller Asset Management. Prior to joining Rockefeller in 2020, she was a Portfolio Manager at MSD Capital, a private investment firm that manages the capital of Michael Dell and his family. Before MSD Capital, Ms. Sheffield spent over 6 years at Brandywine Global, where she most recently was the Portfolio Manager of the 30th Street Fund, a long/short equity hedge fund, and was also a Senior Equity Analyst on the US Large Cap Value Fund. She began her investment career as a Senior Research Associate on the US Hardlines Retail Team at Sanford Bernstein. Ms. Sheffield previously worked primarily in the wireless industry in Silicon Valley. She received a B.A. in Neuroscience from Pomona College where she graduated summa cum laude, and an M.B.A from the Wharton School where she graduated as a Palmer Scholar (top 5% of the class).
BRIAN RILEY
Managing Director, Divisional Director
Brian Riley is the Head of Rockefeller’s San Francisco Office and Managing Director of its Pacific Northwest Division for Rockefeller Private Wealth Management. In this role, Brian is responsible for leading and expanding Rockefeller’s business and stable of elite Private Wealth Advisor teams in the Pacific Northwest.
Prior to Rockefeller, Brian most recently served as the Executive Vice President on the Private Wealth Management team at First Republic Bank. In this role, he led the strategy to position First Republic Wealth Management as a boutique investment firm catering to high net worth individuals and nearly tripled the assets under management in four years.
Prior to First Republic, Brian spent 19 years with Merrill Lynch. He began his career there as a Financial Advisor in Baltimore, Maryland and went into management full time in 2001. He held a variety of leadership positions at Merrill Lynch, including running the largest branch office in the firm and serving as a Regional Managing Director for the Private Bank, catering to the firm’s ultra-high net worth clients. While with Merrill Lynch, Brian also oversaw the West Coast operations for the Corporate Services, Venture Services, and Asian focused wealth management unit.
Brian received his undergraduate degree from Boston University and holds an Advanced Management Degree from Harvard Business School.
MICHAEL PARKER
Managing Director, Divisional Director
Michael is a senior executive with 25 years of experience and success in financial services. His areas of expertise include strategic growth, business development, relationship management, marketing, and public relations.
Prior to joining Rockefeller, Michael led RBC Wealth Management’s U.S. recruiting efforts. He was responsible for the overall strategy for the RBC field managers across the country.
Previously, Michael served as the Executive Vice President and Chief Development Officer with Hightower Advisors. In this role, he was responsible for driving organic and inorganic revenue growth for the organization, successfully leading the firm to Top 5 ranking within the industry in new business development/recruiting results for six consecutive years; industry-leading performance in organic growth; and listings in the Inc. 5000 as a fastest-growing company for five consecutive years.
Prior to Hightower Advisors, Michael was tenured with Citigroup/Smith Barney, holding the positions of Financial Advisor and Senior Vice President of Wealth Management.
Michael has been a featured writer for wealthmanagement.com, where he has authored more than a dozen articles, including What Did You Learn? On Wealth Management Leadership; The Right People with The Right Stuff; What Gets Measured, What Gets Done; Are You Willing to Sacrifice Growth?; Be The Buyer; Why You?; It’s The Culture Stupid; Scrap the Strategic Planning Meetings, Just Tell a Great Story.
In 2015, Michael created and authored Blueprint for Growth, an industry award winning practice management program recognized by wealthmanagement.com.
Michael earned an M.B.A. from the Sawyer Business School at Suffolk University in Boston.
NATHAN D. CRAIR
Managing Director, Divisional Director
Nathan is a Managing Director and Leader of the Southwest Division for Rockefeller Capital Management. In this role, he plays a vital part in building and managing the Wealth Management business for Rockefeller Capital throughout the Southwest region. He opened the first Southwest hub in Los Angeles in September 2019.
Prior to joining Rockefeller Capital Management, Nathan served as Managing Director, Market Executive of the West LA Market, for over 14 years with Merrill Lynch. His Market had more than 220 Financial Advisors who collectively were entrusted with over $30 billion in total assets and liabilities, making it one of the largest markets in the firm. With over 30 years in the industry, Nathan provides a wealth of experience and skills in helping his Financial Advisors and their clients. His prior experience as a Financial Advisor has given Nathan a unique insight into the needs of both clients and employees alike. For many years, Nathan has been recognized for success in helping Financial Advisors grow their practice and recruiting the best Financial Advisors from the competition.
Before joining Merrill Lynch in 2004, he held various positions with Prudential Securities and Wachovia Securities.
Nathan graduated from U.C Berkeley, and he now resides in Pacific Palisades with his wife Daniela and their daughter Izabella. He also has two grown sons Jordan and Kyle, who are now out of the house. Nathan enjoys participating in endurance sports such as cycling and running and has completed 22 marathons and various Triathlons to date. With a desire to shift his passion for running in a more philanthropic direction, Nathan became involved with Students Run LA, a non-profit organization working with at-risk secondary students, where he now serves on the Board.
MICHAEL R. ARMONDO
Managing Director, Divisional Director
Michael Armondo is a Managing Director for Rockefeller Capital Management and serves as the Divisional Director for the central United States. Michael joined Rockefeller in 2019 after 25 years at Merrill Lynch, where his latest assignment was as the Managing Director over the Greater Dallas Market.
Michael graduated from the United States Military Academy at West Point, where he played football, and obtained his M.B.A. from Heriot-Watt University in Edinburgh. He served in the United States Army as an Armor Officer after going to airborne school. At Merrill Lynch, he managed over 300 individuals and $36 billion in assets. Beginning as a Financial Advisor in San Antonio, Michael had various roles in leadership, including Resident Director, District Sales Manager, Director, and Managing Director. He was honored to be on the Board of the Merrill Lynch Trust Company of Texas, the Market Executive Strategic Committee, and the Chairman of the Director Advisory Council to Leadership. Michael currently holds his CFP® (Certified Financial Planner) and ChFC® (Chartered Financial Consultant) certifications.
Head of Strategic Platform Management
Satish joined the financial services industry at the dawn of dot com era in 1996 at Merrill Lynch and was responsible for architectural framework of Merrill Lynch Online. Driven by the thrill of working with high quality colleagues focused on advising clients through their financial roadmaps, he adopted the role of using technology to simplify and automate advice and implementation processes. He worked on launching fee-based products such as Unified Managed Account. Satish joined Morgan Stanley in 2014 to lead the technology platform for planning and advisory solutions. His team launched a new planning platform along with holistic advice implementation solutions.
Since joining Rockefeller Capital Management in 2019, Satish has collaborated closely with Private Wealth Advisors to transition their practice to RCM and to deliver highly personalized client solutions across their critical life goals by employing diverse strategies across multiple financial products.
Satish has MS in Computer Science from University of Alabama in Huntsville, and Bachelor of Engineering in Digital Electronics from University of Bombay.
JOHN BERNBACH
Senior Advisor
Mr. John Bernbach is CEO of The Bernbach Group, a business consulting firm.
Twenty-seven of his 33 years in the advertising business were spent at Doyle Dane Bernbach, the last eight as President and COO of DDB Needham Worldwide. In 1986, he was responsible for leading Doyle Dane Bernbach into the merger with Needham Harper Worldwide and BBDO and helping to create the Omnicom Group, the largest, most profitable communications group in the world at that time. He also served on the board as one of Omnicom’s five founding directors. While at Omnicom, he ran all of the domestic and international operations for the newly created DDB Needham.
Subsequently, Mr. Bernbach as CEO of The Bernbach Group, LLC, led this executive management consulting business concentrating on corporate and communications strategies. Bernbach Group clients included the Seagram Spirits & Wine Group, Universal Studios, Power Corporation of Canada and Cossette Communications Group, and The Blackstone Group/Savoy Group of Hotels, where Mr. Bernbach also served on the board. Throughout his career, he helped to develop marketing campaigns and branding strategies for such famous clients as Volkswagen and Audi, Universal Studios, Avis, IBM, Michelin, Porsche, Seiko watches, Chivas Regal Scotch, Martell Cognac and Mumm Champagne.
In 1994 Mr. Bernbach launched and served as Chairman and Director of Avenue China, the first upscale luxury goods magazine published in Chinese and distributed in the four major cities in China, with a circulation of over 45,000. In 1997 Avenue China merged with the French magazine, Joyce, resulting in a new publication known as Joyce Avenue, with editions in China, Japan, France and Spain.
From 1995 to 2000, Mr. Bernbach served as Director, then CEO and Chairman of North American Television, a joint venture between the Power Corporation of Canada and the Canadian Broadcasting Company. NATV produced and distributed news and English language foreign entertainment programming on two wholly-owned television stations, TRIO and Newsworld International, which were broadcast via satellite on DIRECTV. NATV was successfully sold to Barry Diller’s USA Network.
In 2003 predicting the coming digital revolution in media and communications Mr. Bernbach was Co-Founder, President and COO of NTM (Not Traditional Media) Inc., a marketing and media advisory firm with a data base of over 600 newly created digital media companies to help clients and media companies develop strategies integrating nontraditional marketing solutions and new media models. NTM was ultimately sold to the Engine Group in the UK. Mr. Bernbach served as Vice Chairman of Engine, one of the largest privately-owned independent marketing services companies. Clients of Engine globally included Coca-Cola, Nestle, Unilever, Frito Lay, Warner Bros., American Express, Newscorp, among others.
Mr. Bernbach is also part of a team of diverse corporate executives who founded Distillier LLC of which he is Chairman and developed and introduced Grand Brulot, the esteemed VSOP Cognac and coffee alcoholic beverage, in the US and Europe.
Mr. Bernbach currently serves on the boards of Great-West Life & Annuity Insurance Company, where he serves on the Conduct Review, Governance and Nominating Committees, the Great- West Life & Annuity Insurance Company of New York, where he serves on the Audit Committee; Putnam Investments LLC; Empower Retirement; Power Pacific Corporation Limited; and Casita Maria, a non-profit center for the arts and education serving Hispanic youth in New York. Mr. Bernbach is Chairman of the Board for Ai Media Group, LLC, a non-public digital marketing services company, which is majority owned by The Blackstone Group, and is Chairman of Distillier, LLC, the beverage company who introduced the Grand Brulot product to the market, as well as a Senior Advisor and member of the Executive Committee of BrainLit AB, one of Sweden’s most innovative technology companies.
Mr. Bernbach graduated from Georgetown University with a degree in political science and constitutional law and lives in Bedford, New York with his wife Violaine.
DANIEL ROSENTHAL
VantageRock Co-Founder & Head of Research
Daniel Rosenthal is a Managing Director and Co-Founder & Head of Research of VantageRock, a long/short equity hedge fund within Rockefeller Asset Management. Prior to joining Rockefeller in 2020, he was a Portfolio Manager at MSD Capital, a private investment firm that manages the capital of Michael Dell and his family. Before MSD Capital, Mr. Rosenthal was on the founding team and a partner for over 10 years at Valinor Management, where he helped build the firm into a ~$3B Long/Short Equity hedge fund by the time he left. He previously held professional roles at Mayfield, IPWireless and McKinsey & Company. Mr. Rosenthal received a A.B. in Politics from Princeton University where he graduated with honors, and an M.B.A. from the Harvard Business School where he graduated as a Baker Scholar (top 5% of the class).
DEREK JETER
Board Member
By the time he stepped away from baseball in 2014 after a historic 20-year career, Derek Jeter had established himself as one of the most respected men to ever have played the game. In recognition of his on-field accomplishments and impact on the game, he was elected to the Baseball Hall of Fame in the Class of 2020.
With a reputation as an unmatched leader both on and off the field, Jeter has established a second career leading a variety of successful business ventures and entrepreneurial investments, while still maintaining his close ties with baseball. In 2017, he became part-owner of MLB’s Miami Marlins, for whom he also serves as CEO, overseeing the day-to-day for both the business and baseball operations for the team. He is the first African-American to serve in this role for any major league team in the history of the sport. In 2020, the organization made their first playoff appearance since 2003.
Jeter is also the founder of The Players’ Tribune, a subsidiary of Minute Media for which he also is a member of the Board. TPT is an innovative multimedia company where world-class athletes share their honest and unique perspectives, bringing fans closer to the games they love. In November 2013, Jeter and Simon & Schuster announced the Jeter Publishing imprint, which has produced a number of New York Times Best Sellers including the first children’s book released, The Contract, and a full-color photo book called Jeter Unfiltered, which provided fans an in-depth look at his life through never-before-published images taken over the course of his final season.
Jeter continues to be the driving force behind the Turn 2 Foundation, which he established in 1996 to give back to the communities with which he has a close connection, including West Michigan, Tampa and New York City. He satisfies his passion for inspiring young people through initiatives — like the Jeter’s Leaders program — that promote academic excellence, leadership development, positive behavior, healthy choices and social change. To date, the Turn 2 Foundation has awarded more than $30 million in grants to create and support signature programs that motivate young people to turn away from drugs and alcohol and “Turn 2” healthy lifestyles.
A five-time World Series champion and member of baseball’s exclusive 3,000-hit club, Jeter earned numerous accolades throughout his career in recognition of both his on-field skill and his commitment to the community, including: World Series MVP (2000); 14 MLB All-Star selections; 5 Gold Glove Awards; 5 Silver Slugger Awards; AL Rookie of the Year (1996); Roberto Clemente Award (2009); and Sports Illustrated Sportsman of the Year Award (2009). In 2017, the Yankees retired his No. 2 jersey and unveiled a plaque in the famed Monument Park in recognition of his historic career with the organization.
DAVID P. HARRIS, CFA®
Chief Investment Officer & President of Asset Management
David P. Harris, CFA®, is the Chief Investment Officer and President of Asset Management of Rockefeller Capital Management. He is a member of the firm’s Management Committee. He is a Chartered Financial Analyst®.
David has spent more than two decades with Rockefeller. Prior to becoming its Chief Investment Officer in 2005, he was the firm’s Director of Equity Management, a role in which he led the global equity portfolio and the equity analyst team. Before joining Rockefeller, David worked at Stein Roe & Farnham, where he was a portfolio manager for non-U.S. and emerging market equity funds.
He earned his bachelor’s degree from the University of Michigan and his M.B.A. with distinction from Cornell University.
David serves on the Board of Trustees and as Chair of the Investment Committee of St. Barnabas Hospital, on the Advisory and Investment Committees of Studio in a School, and on the Board of Directors of Quarry Underwriting Assurance Limited.
ALBERT P. SINDALL III, CFA®
Albert P. Sindall III (Trey), CFA© is a Portfolio Manager within the Investment Group. Prior to joining the Investment Group, he was a Senior Performance Analyst with Rockit Solutions. Before he joined the Rockefeller, Mr. Sindall worked as an Investment Performance Analyst at Cambridge Associates. Mr. Sindall holds a B.S. in Analytical Finance from Wake Forest University and is a member of the CFA Society New York.
MIA OVERALL
Director of Shareholder Engagement, Rockefeller Asset Management
Mía Overall is a Senior Vice President and Director of Shareholder Engagement within Rockefeller Asset Management. She has over 15 years of experience working on ESG issues, most recently in her own consulting practice, Overall Strategies, where she advised corporations on their ESG and sustainability strategies. Before founding her own firm, Ms. Overall worked with leading advisory firms such as CSR Asia and Futerra. Prior to that, she worked on sustainable development projects in Latin America for the World Bank. Ms. Overall has a breadth of global experience, having lived and worked in Europe, Asia, and Latin America. She earned a B.A. in International Relations from Stanford University, an M.A. in International Relations and Economics from Johns Hopkins School of Advanced International Studies (SAIS), and an M.B.A. from the Stern School of Business at New York University. She is fluent in Spanish and Italian.
ANDREW M. KELLO
Head of Fixed Income & Portfolio Manager
Andrew M. Kello is a Managing Director and Head of Fixed Income & Portfolio Manager within Rockefeller Asset Management. Prior to joining Rockefeller in 2006 as a Portfolio Engineer, Mr. Kello worked at UBS Financial Services, Inc. as an Investment Associate for the Institutional Sales Group. He was also a Financial Advisor in their Private Client Group and a Client Service Associate. Mr. Kello holds a B.S. in Organizational Communication from Northeastern University.
EDMOND N. MORIARTY III
Chief Financial Officer & Chief Risk Officer
Edmond N. Moriarty is the Chief Financial Officer and Chief Risk Officer for Rockefeller Capital Management. He is a member of the firm’s Management Committee.
Previously, Ed served as the Head of Merchant Banking & Real Estate Investing, Alternative Investment Partners (AIP), and Managed Futures at Morgan Stanley, managing in aggregate $77 billion of assets across a variety of alternative strategies and products. Before that, he was the Chief Operating Officer of Investment Management at Morgan Stanley. He was also a member of Morgan Stanley’s Management Committee, Firm-Wide Risk Committee, Asset/Liability Management Committee, and Global Franchise Committee.
Before joining Morgan Stanley, Ed worked for Merrill Lynch & Co., where he finished as a Senior Vice President and Co-Chief Risk Officer and was selected to join the senior transition leadership team for the merger of Merrill Lynch & Co. and Bank of America Corp. At Merrill, he held a variety of leadership roles in investment banking, capital markets, and risk management. He initially joined Merrill Lynch & Co. as an investment banker in 1987.
He received his bachelor’s degree from Hamilton College and his M.B.A. from the Darden School of Business at the University of Virginia.
Ed is Chairman of the Board of Trustees of Elon University. He was formerly Vice Chairman of the Board of Trustees of the Gill St. Bernard’s School and a trustee of Homeless Solutions, Inc., a nonprofit based in Morristown, N.J.
ASHLEY MCCARTHY
Chief Counsel, Corporate
Ashley McCarthy is Chief Counsel for Corporate at Rockefeller. She is a member of the firm’s Management Committee.
Prior to joining Rockefeller, Ashley was in private practice, most recently as a partner at McDermott Will & Emery, where she specialized in executive compensation. Ashley also worked as an associate in the Executive Compensation Practice Group of Kirkland & Ellis, where her practice focused primarily on the executive compensation aspects of public and private mergers and acquisitions.
Ashley received a B.A. in Political Science from Columbia University and a J.D. from Cornell Law School.
HARRY SINGH
Head of Strategy and Investment Solutions
Harry Singh is the Head of Strategy as well as the Head of Investment Solutions for Rockefeller Capital Management. He is a member of the firm’s Management Committee. Harry is responsible for defining and executing a firm-wide strategy across all businesses at Rockefeller Capital Management. Additionally, he is also responsible for all Investment Solutions that are provided to clients of the firm.
Previously, Harry was a Managing Director at Morgan Stanley, where he also was a member of the Management Committee of the Wealth Management business and Head of the Office of the Vice Chairman for Global Wealth Management. He also held roles as the head of the Strategic Client Management Groups and Co-Head of Institutional Wealth Services.
Prior to joining Morgan Stanley, Harry served in a variety of leadership roles at Merrill Lynch, across the firm’s Wealth Management, Investment Banking and Fixed Income Trading businesses, both in New York and London. This included Managing Director and member of the Investment Banking Operating Committee, Co-Head of Global Client Coverage, and Chief Operating Officer of Global Capital Markets. Harry has a bachelor’s degree from the University of Bombay and an M.B.A. from Cornell University.
WILLIAM “BILLY” FENRICH
General Counsel
William “Billy” Fenrich is the General Counsel of Rockefeller Capital Management. He is a member of the firm’s Management Committee.
Prior to joining Rockefeller, Fenrich was the Chief Legal Officer at AQR Capital Management and a member of the firm’s Operating Committee. Previously, Fenrich was the Global Chief Compliance Officer for Morgan Stanley and a member of the firm’s Management and Risk Committees. Fenrich also served as General Counsel and Chief Operating Officer of Point State Capital, from its 2010 spin-out from Duquesne Capital until 2014. He started his career at Davis Polk & Wardwell in 1999 and was named partner in 2005.
He completed his undergraduate degree at the University of Pennsylvania and received his J.D., magna cum laude, Order of the Coif, from Fordham University School of Law. He clerked for the Honorable Thomas J. Meskill of the United States Court of Appeals for the Second Circuit, from 1998 to 1999, and for the Honorable Loretta A. Preska of the United States District Court for the Southern District of New York, from 1997 to 1998.
David Harris, CFA
Michael Seo, CFA
David Harris, CFA
Michael Seo, CFA
Craig Leopold, CFA
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1/1/2012
10/1/2014
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Short-Term Taxable ESG Fixed Income
Portfolio Manager
Trey Sindall, CFA
Inception Date
11/1/2013
Short-Term Taxable Fixed Income
Trey Sindall, CFA
11/1/2012
Core Taxable ESG Fixed Income
Trey Sindall, CFA
1/1/2012
Core Taxable Fixed Income
Trey Sindall, CFA
1/1/2012
Intermediate Taxable Fixed Income
Trey Sindall, CFA
1/1/2012
Preferred Securities
Trey Sindall, CFA
6/1/2017
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Casey Clark, CFA
Rolando Morillo
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Bloomberg Rockefeller Multi-Factor ESG Improvers Index
Casey Clark, CFA
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Avery Sheffield
Dan Rosenthal
10/1/2020
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Craig Leopold, CFA
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Nancy Fink
Craig Leopold, CFA
Nancy Fink
Craig Leopold, CFA
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David Harris, CFA
Michael Seo, CFA
David Harris, CFA
Michael Seo, CFA
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David Harris, CFA
Michael Seo, CFA
David Harris, CFA
Michael Seo, CFA
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Bloomberg Rockefeller Multi-Factor ESG Improvers Index (BRAMUT)
Rockefeller Asset Management and Bloomberg have partnered to launch the first in a suite of planned ESG Improvers Indices. This “next-gen” multi-factor Index leverages the Rockefeller ESG Improvers Score™ to provide differentiated ESG factor exposure, offering potential to outperform broad, traditional indices.
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VantageRock Capital
VantageRock Capital is a female-led, fundamental-based, U.S. focused, multi-sector long/short equity strategy utilizing the co-founders’ experience running low net and a commitment to short selling, coupled with integrated ESG research and independent thinking, to pursue asymmetric risk/reward and strong alpha generation.
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CHLOE DUANSHI, CFA®
Head of Quantitative Research & 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.
ALISON SCHACHTER
Corporate Controller
Alison Schachter is the Managing Director, Corporate Controller of Rockefeller Capital Management. She is a member of the firm’s Management Committee. Previously, she was Head of Financial Planning & Analysis.
Prior to joining Rockefeller, Alison was the CFO, Management Company at Chilton Investment Company and Chilton Trust. While at Chilton she held responsibility for the finance, accounting, and tax compliance functions of the firm. Prior to Chilton, Alison held accounting and finance leadership roles at FrontPoint Partners, Morgan Stanley, and Gartmore Global Investments. She received her BS in Accounting from Binghamton University and her Masters of Business Administration from Mercer University. Alison is a Certified Public Accountant.
JAMES M. BEALE
Head of Capital Markets & Managed Solutions
James M. Beale is a Managing Director and Head of Capital Markets & Managed Solutions for Rockefeller Capital Management. He is a member of the firm’s Management Committee. James is responsible for developing and enhancing Rockefeller Capital Management’s Capital Markets capabilities. Additionally, James is focused on the constant development and enhancement of the Managed Platform.
James joined Rockefeller in April 2020 after 16 years at Merrill Lynch, where he was a Managing Director and Head of Capital Markets Sales within the Investor Solutions Group.
In prior roles at Merrill Lynch, James served as a Northeast Regional Director for Structured Investment Sales and held leadership positions in Equity Syndicate and Product Origination. Before joining Merrill Lynch in 2004, James started his career at Scudder Investments serving in both Origination and Distribution roles after concluding a professional hockey career in Europe and the U.S. James is an active advocate for victims of pediatric cancer and serves as a Trustee and Advisory Director on the board of The Arms Wide Open Childhood Cancer Foundation. A graduate of Wagner College, James holds his Series 7,24, 63 and 65 licenses.
MICHAEL BRAKEY
Head of Strategic Client Solutions
Michael Brakey is Managing Director and the Head of Strategic Client Solutions for Rockefeller Capital Management which includes the Credit, Banking, Insurance, Annuity and Retirement businesses. Mr. Brakey also serves on the Rockefeller Capital Management Committee. Prior to joining Rockefeller, Mr. Brakey was a Managing Director at Morgan Stanley, which he joined in 2011 to help accelerate the firm’s banking growth strategy. At Morgan Stanley, he ran High Net Worth lending and led Private Banking Group strategy. Prior to joining Morgan Stanley, Mr. Brakey spent 17 years at Merrill Lynch, later Bank of America Merrill Lynch, where he finished as a Managing Director and Head of Global Wealth Credit Strategy and Investment Lending. Before that, he headed the Consumer Lending as well as the Global Securities-Based Lending businesses and ran the Business Financial Services Western Division.
Mr. Brakey began his career in the Corporate Lending unit of Bank One (now JPM) and is a Chartered Financial Analyst (CFA). Mr. Brakey received his MBA from the Cox School of Business at Southern Methodist University and his bachelor’s degree from the University of Texas at Austin.
JACKIE 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.
MICHAEL GAAB
Chief Human Capital Officer
Michael Gaab is the Chief Human Capital Officer of Rockefeller Capital Management. He is a member of the firm’s Management Committee.
In his role, Michael is responsible for driving key organizational priorities across all areas of Human Capital, including total rewards, talent acquisition, employee development, and HR technology. Michael joined Rockefeller in November 2018 as the Head of Compensation & Benefits.
Prior to Rockefeller, Michael spent eight years working as a compensation leader at BNY Mellon where he partnered with executive leaders to create and implement global reward strategies. Most recently before joining Rockefeller, Michael was the Head of Compensation for BNY Mellon’s Wealth Management business, which managed over $230B in client assets and had over 2,000 employees.
Michael earned his undergraduate degree in business administration from the Georgetown University McDonough School of Business.
Sharath Shetty is a Managing Director, responsible for leading the Strategic Advisory execution activities of Rockefeller Capital Management. He is a member of the firm’s Management Committee.
Prior to joining Rockefeller in March 2018, Mr. Shetty served as an investment banker at UBS, where he led strategic advisory assignments including mergers, acquisitions, divestitures, and capital markets transactions for clients in the financial services sector. Previously, Mr. Shetty spent 8 years combined at Merrill Lynch and Bank of America Merrill Lynch in the Global Financial Institutions Investment Banking group. Prior to investment banking, Mr. Shetty worked in consulting and operational roles in the financial services industry.
Mr. Shetty earned an M.B.A. in Finance (with Honors) from the Wharton School at the University of Pennsylvania, a Master of Science degree in Engineering from the Massachusetts Institute of Technology, and a Bachelor’s degree in Engineering from the Indian Institute of Technology.
CRAIG LEOPOLD, CFA®
Senior Portfolio Manager, Rockefeller Asset Management
Craig Leopold, CFA is a Portfolio Manager and a Managing Director within Rockefeller Asset Management. He is responsible for the management of the U.S. SMID Cap Strategy and is a Co-Portfolio Manager on the U.S. Small Cap, U.S. Small Cap ESG, and U.S All Cap ESG equity strategies. Mr. Leopold rejoined the firm after 17 years as a Senior Portfolio Manager at Columbia Management, where he managed several equity strategies including U.S. Equities and Global Infrastructure. He first joined Rockefeller in 1991 and worked as an Equity Analyst covering the consumer and technology sectors.
LAURA K. ESPOSITO
Head of Institutional & Intermediary Distribution
Laura K. Esposito is a Managing Director and Head of Institutional and Intermediary Distribution of Rockefeller Capital Management. She is also a member of the firm’s Management Committee.
Prior to joining Rockefeller in May 2018, Laura served as co-head of global sales and marketing at TT International. She previously worked at First Eagle Investment Management, covering North American and European institutional investors and consultants. She also held various roles in institutional distribution at Goldman Sachs Asset Management and Lord Abbett. Laura started her career in the industry in 1998 and now has more than 20 years of experience.
She earned a B.S. from the Villanova School of Business.
Laura is a member of the Advisory Council for the Anne Welsh McNulty Institute for Women’s Leadership at Villanova University.
BRIAN WARSHAW
Managing Director, Head of Operations
Brian Warshaw is the Managing Director, Head of Operations for Rockefeller Capital Management. Brian’s team supports all the businesses within Rockefeller including Asset Management, Global Family Office and Private Wealth Management. Brian is also a member of Rockefeller’s Management Committee. Brian joined Rockefeller in May 2019 following a distinguished 38-year career with Bank of America Merrill Lynch. As an executive focused on Risk and Operations Management, he has covered most aspects of banking and brokerage operations and systems throughout the country and internationally.
Brian is a past president and an active board member of SIFMA’s Credit and Margin Section and represented Merrill Lynch on FINRA’s advisory committee focused on margin. Brian earned a bachelor’s degree in Business Economics from Rutgers University. He has completed several courses at the Wharton Institute of Executive Education including the Securities Industry Institute (SII) 3-year program. Brian is FINRA Series 7, 24, 28 and 99 registered.
JEFFREY SHAMES
Senior Strategy Advisor
Jeffrey Shames is the Senior Strategy Advisor of Rockefeller Capital Management, where he helps drive firm-wide growth strategy. He is a member of the firm’s Management Committee.
Previously, Jeff was the Chairman and CEO of MFS Investment Management and served on the Board of Trustees of the MFS Funds. He joined MFS in 1983 as an industry analyst, then became a portfolio manager, Chief Equity Officer, President, and board member. He retired as CEO in 2002 and as Chairman in 2004.
Jeff was a senior advisor to Morgan Stanley from 2010 to 2013, responsible for advising the President of Investment Management and Morgan Stanley Smith Barney Wealth Management.
Jeff earned his bachelor’s degree from Wesleyan University and his M.B.A. from the MIT Sloan School of Management. In between college and graduate school, he served as a U.S. Peace Corps volunteer and with the U.S. Department of Agriculture.
He is an Executive in Residence at the MIT Sloan School of Management, lecturing in finance, leadership, and global health management, and serving as a member of the Advisory Boards of the MIT Sloan School of Management, MIT Master’s of Finance Program, and MIT Leadership Center.
Jeff is a member of the Boards of Trustees of the X Prize Foundation, City Year, Summer Search, Tufts Medical Center, and the Berklee College of Music. He also serves on the boards of several startups.
JASON RICH
Chief Operating Officer, Private Wealth Management
Jason Rich is Managing Director and Chief Operating Officer for Private Wealth Management at Rockefeller Capital Management. He is a member of the firm’s Management Committee. Prior to joining Rockefeller, Jason spent 17 years at Merrill Lynch, with responsibility over that time as Head of Advisor Acquisition & Business Enablement, National Sales Manager, and Chief Operating Officer of the Private Banking and Investment Group. He served as Head of Practice Management and Southeast Regional Sales Manager for Credit Suisse Private Banking and began his career with Deloitte & Touche LLP, in their Financial Services Practice.
Jason holds the CFA© designation and received his Certified Public Accountant license. He is published in Advances in Quantitative Analysis of Finance and Accounting. He received his M.B.A. from the Rutgers Graduate School of Management and a Bachelor of Science degree in Accounting from Rutgers University. He is an ultra-marathon runner and professional musician.
Jason lives with his wife and two children in Bedminster, N.J.
ELIZABETH P. MUNSON
Chairperson, Rockefeller Trust Companies
Elizabeth P. Munson is the Chairperson of Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). She is a Managing Director and member of the firm’s Management Committee. In this role, she specializes in advising high-net-worth individuals and families, particularly in trust and estate planning and philanthropic matters.
Prior to joining Rockefeller, Liz was a partner in White & Case’s Private Clients Group, where she practiced from 1983 to 2001. In her law career, her practice focused on providing tax and estate planning for high-net-worth families, foundations, endowments, and nonprofit organizations. She also advised the Private Clients Group at several leading banking institutions.
Liz earned a bachelor’s degree from Yale College, an LL.M. in taxation from New York University School of Law, and a J.D. from Harvard Law School.
She is highly involved in serving several nonprofit organizations, including as Board Chair of Lenox Hill Neighborhood House, Vice President and Secretary of Sheltering Arms Children and Family Services, Secretary of the Cancer Schmancer Foundation, and a Director of Stichting to Promote Women’s World Banking. She is also a director of CPA®18, a real estate investment trust advised by W.P. Carey & Co, LLC.
LISA MANGANELLO
Chief Marketing Officer
Lisa Manganello is the Chief Marketing Officer of Rockefeller Capital Management. She is a member of the firm’s Management Committee. Previously, she was Head of Marketing, Private Wealth Management.
Prior to joining Rockefeller, Lisa was the Global Head of Brand & Advertising at Morgan Stanley. She joined Morgan Stanley in December 2012 as Chief Marketing Officer, Investment Products and Field Marketing. In addition to providing leadership across all marketing initiatives for the Investment Product & Services and Field Management teams, Lisa redesigned the organization to deliver marketing that was consistent across products and integrated with the broader strategic priorities of Morgan Stanley Wealth Management.
Before joining Morgan Stanley, Lisa spent five years running her own consulting practice, working with leading financial service organizations to provide strategic marketing leadership for the design, development, and implementation of marketing and communications solutions. Prior to that, Lisa held several positions at Merrill Lynch, including Head of Marketing for Merrill Lynch’s Direct Division and Director of Marketing Strategy for the ultra-high-net-worth segment. In these roles, Lisa was responsible for retaining and cultivating Direct Division clients as well as the direct-to-client acquisition strategy that ultimately became Merrill Edge. In addition, she created the Private Banking & Investment Group (PBIG) brand that differentiates Merrill Lynch’s ultra-high-net-worth segment.
Lisa started her career at WPP companies, where she spent eight years working for key agencies including Burson-Marsteller Public Relations, Landor Associates, and Young & Rubicam. Lisa was selected for the Passport Program, a rotational program designed to offer high-potential young professionals the opportunity to work across WPP businesses to develop an integrated perspective across marketing disciplines.
She earned her bachelor’s degree from Loyola University Maryland.
JOSEPH A. FERLISI
Chief Information Officer & Chief Information Security Officer
Joseph A. Ferlisi is the Chief Information Officer & Chief Information Security Officer of Rockefeller Capital Management. He is a member of the firm’s Management Committee. He is responsible for innovation, technology, and information strategy and architecture, as well as data security across the firm.
Joe has more than 25 years of experience in technology leadership roles in the wealth management industry. Most recently, he was Chief Technology Officer for Global Banking and Markets at Bank of America Merrill Lynch, which he joined in 2016. Previously, he was the Chief Technology Officer for Field and Client Technology for Morgan Stanley Wealth Management.
He started his career at Merrill Lynch, where he spent 17 years in roles of escalating importance, including the Senior Technology Executive for the Consumer Channels Technology Team. He also served as the Chief Technology Officer for Merrill Edge, focused on technology for the firm’s wealth management businesses.
Joe is a graduate of New Jersey City University and has a master’s degree in Management Technology from the Wharton School of the University of Pennsylvania.
JIMMY C. CHANG, CFA®
Chief Investment Officer, 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 16 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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MARK PATTERSON
Senior Advisor
Mark Patterson is a Senior Advisor to Rockefeller Capital Management. Mr. Patterson has been a real estate consultant and financial advisor since leaving Merrill Lynch in 2009 and is currently an Advisory Director in the Real Estate Group at Investcorp International. He joined Merrill Lynch as the Global Head of Real Estate Investment Banking in April 2005 and in 2006 also became the Co-Head of Global Commercial Real Estate, a role that encompassed real estate investment banking, principal investing, and mortgage debt. Prior to leaving Merrill Lynch, Mr. Patterson was a Managing Director and Head of the Real Estate Global Principal Investments. Prior to his time at Merrill Lynch, Mr. Patterson spent 16 years at Citigroup, where he was the Global Head of Real Estate Investment Banking from 1996 to 2005. He started his career working in the real estate groups at Chemical Realty Trust and Arthur Andersen. Mr. Patterson serves on the Board of Directors of Digital Realty Trust, Americold Realty Trust; UDR, Inc.; and Paramount Group. He also served as the Chairman and CEO of Boomerang Systems from 2010 to 2016, and 2010 to 2015, respectively. Mr. Patterson has a bachelor’s degree from the College of William and Mary and a Master of Business Administration degree from the Darden School of Business at the University of Virginia, and is a Certified Public Accountant.
PAUL M. WETZEL
Senior Advisor
Paul M. Wetzel, is a member of the Board of Directors of Brighthouse Financial, Inc. (NASDAQ: BHF). Mr. Wetzel joined the board of BHF, a new company established by MetLife, at its inception on August 4th, 2017, following its spin-off from MetLife, Inc. As a board member, he serves on the Finance and Risk, Compensation, and Nominating and Corporate Governance Committees.
After more than 30 years in investment banking, Mr. Wetzel retired from Deutsche Bank in October 2016. He joined Deutsche Bank in 2009 as a Managing Director and Head of Financial Institutions Mergers and Acquisitions in the Americas, and was additionally named Vice Chairman of Financial Institutions in 2010. He later served as Head of Investment Banking in Japan from 2011 to 2013 and as Chairman of the Global Financial Institutions Group, based in New York, from 2013 until his retirement in 2016.
Prior to joining Deutsche Bank, Mr. Wetzel was a Senior Vice President and Head of Global Strategy and Business Development for Merrill Lynch & Co. Mr. Wetzel joined Merrill Lynch in its Financial Institutions Group (FIG) in 1992. From 2005 through 2008 he was based in Japan as Head of Merrill Lynch’s Asia Pacific FIG investment banking practice. In that role, he managed Merrill Lynch’s FIG businesses in Tokyo, Hong Kong, Seoul, Singapore, Sydney, and Mumbai. Prior to that assignment, Mr. Wetzel was based in New York and held the position of Head of Global Financial Institutions Mergers & Acquisitions. Before joining Merrill Lynch, Mr. Wetzel worked, beginning in 1985, in the Financial Institutions Group at the investment banking firm Salomon Brothers.
Through his more than 30 years as an investment banker covering financial institutions, Mr. Wetzel has extensive global experience advising major banking, insurance, asset management, financial technology, and specialty finance companies in mergers and acquisitions, securities offerings, and other financial transactions.
Mr. Wetzel graduated summa cum laude from the State University of New York at Buffalo in 1981 with a B.S. degree in business, and earned his M.B.A. from The University of Chicago Graduate School of Business in 1985.
Mr. Wetzel and his wife, Melissa, have four adult children and reside in New York City. They also spend time at their house in Vermont, where they enjoy skiing, biking, and kayaking.
SAMUEL R. CHAPIN
Senior Advisor
Samuel R. Chapin is a Senior Advisor for Rockefeller Capital Management. Drawing on more than three decades of investment banking experience, Mr. Chapin works closely with the Rockefeller Strategic Advisory business in providing trusted advice to family-owned businesses, corporate, and investor clients. Prior to joining Rockefeller, Mr. Chapin was Executive Vice Chairman of Global Corporate and Investment Banking at Bank of America Merrill Lynch from 2010 to 2016. In that role, he was responsible for managing relationships with some of that firm’s largest and most complex clients. Mr. Chapin previously held a variety of leadership roles at Merrill Lynch, including Vice Chairman and a member of the Executive Operating Committee, as well as Senior Vice President and Head of the Global Investment Banking division. He joined Merrill Lynch in 1984 after beginning his career at Chase Manhattan Bank in the corporate banking group.
Mr. Chapin is a graduate of Lafayette College and received his M.B.A. with distinction from the Wharton School of the University of Pennsylvania. He currently serves on the Boards of Directors of PerkinElmer, CIRCOR International, and the Roundabout Theatre Company, Inc. Mr. Chapin also serves on the Board of Trustees at Lafayette College.
CHUCK ROYCE
Senior Advisor
Charles “Chuck” Royce is a Senior Advisor for Rockefeller Capital Management. Mr. Royce, drawing on more than five decades of experience in the financial services industry, helps advise the Rockefeller Global Family Office in its offering of distinct solutions to ultra-high-net-worth clients. In addition to his role as Senior Advisor, Mr. Royce is Chairman and Portfolio Manager of Royce & Associates, LLP, the firm that he founded in 1972, after retiring as its CEO in 2015.
Mr. Royce is a graduate of Brown University and received his M.B.A. from Columbia University. He currently serves as a trustee of the Frick Collection, the Bruce Museum, the National Trust for Historic Preservation, Berkeley Divinity School at Yale, and the Compass Rose Society.
WENDY XU
Director of Private Equity
Wendy Xu is the Director of Private Equity and a Senior Vice President at Rockefeller Capital Management. She is responsible for manager selection, research, and oversight of private equity investments and the private equity fund-of-funds platform. Prior to joining Rockefeller, Ms. Xu worked at New Mountain Capital, an alternative asset manager with $20B in AUM, where she focused on screening, evaluating, and executing growth equity and leveraged buyout investments in software, healthcare, and other business services companies. Ms. Xu also has experience underwriting corporate credit opportunities at Sandler Capital, a hedge fund with over $1.5B in AUM. Previously. Ms. Xu worked in the Investment Banking Division at Goldman Sachs & Co., where she worked on M&A and corporate finance transactions in the industrials sector. Ms. Xu holds a B.A. cum laude in Economics from Princeton University and an M.B.A. from The Wharton School of the University of Pennsylvania, where she was a Joseph Wharton Fellow.
SAMUEL CAFRITZ
Investment Analyst
Samuel M. Cafritz is an Investment Analyst on the Manager Selection team at Rockefeller Capital Management. Sam interned with the firm in Summer 2017 and has served in his current role since July 2018.
Sam is responsible for researching prospective managers and monitoring approved managers for the firm’s Open Architecture Product Platform. He specializes in environmental, social, and governance (ESG) focused managers.
Sam graduated with a B.A. in Economics with Distinction from the University of Virginia.
DYLAN BERN
Quantitative Research and Portfolio Construction Analyst
Dylan Bern is a Quantitative Research & Portfolio Construction Analyst at Rockefeller Capital Management.
In this role, he is responsible for developing asset allocation guidance for the firm’s wealth advisory business. Additionally, he works with advisors to craft customized multi-asset portfolios, utilizing both traditional and alternative investment strategies.
Prior to Rockefeller, Dylan was a dually-registered Analyst at UBS Private Wealth Management & UBS Investment Bank covering family office clients from a Sales & Trading perspective.
He earned his dual-B.S. in Financial Mathematics & Statistics and B.A. in Environmental Science from University of California, Santa Barbara and passed the first two levels of the CFA exam.
MEREDITH BLOCK, MPA
Senior Vice President and Senior ESG Research & Engagement Analyst, Rockefeller Asset Management
Meredith Block, MPA, is a Senior Vice President and Senior ESG Research & Engagement Analyst within Rockefeller Asset Management. Prior to joining Rockefeller in 2015, Ms. Block was the Director of Programs for Africa and Asia at the Blacksmith Institute, an international non-profit dedicated to mitigating the negative externalities of rapid industrialization in emerging markets. She has implemented projects with government, the private sector and community stakeholders in over a dozen countries to reduce the environmental and human health impacts from industry and mining. Ms. Block received an MPA in Environmental Science and Policy from Columbia University in New York City.
BARRY A. WINTNER, CFA®
Head of Manager Selection
Barry A. Wintner, CFA is the Head of Manager Selection and a Managing Director of Rockefeller Capital Management 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.
CANDICE DIAL
Director of ESG, Family Office
Candice Dial is the Director of ESG Investments at Rockefeller. In her role, she is responsible for leading strategic ESG initiatives within the Family Office, which includes working with the manager selection team to build the third-party manager platform, engaging in thought leadership activities, and supporting Client Advisors. Previously, Candice implemented a sustainable investing program at the Church Pension Group and managed a $1.2 billion sustainability portfolio oversaw the private market sustainable investing program for the Church Pension Group, a pension fund with assets exceeding $14 billion. Candice has spoken in multiple global sustainable investment conferences and featured and mentioned in various video and print publications.
Robert Matza
Senior Advisor
Robert Matza is a Senior Advisor at Rockefeller Capital Management. Mr. Matza is a seasoned asset management executive who has overseen the expansions and acquisitions of some of the largest and most prominent money managers in the world. He recently retired as President, partner, and member of the Executive Committee from GoldenTree Asset Management, where assets under management grew from $6 billion to greater than $30 billion during his tenure. Earlier in his career, Mr. Matza was President and Chief Operating Officer of Neuberger Berman, Inc., as well as a member of its Board of Directors and Executive Committee. In 2003, Mr. Matza negotiated the $3 billion sale of the company to Lehman Brothers, where he had worked previously for 16 years. Mr. Matza’s tenure at Neuberger Berman from 1999 through 2005 coincided with the firm increasing its assets under management from approximately $55 billion to over $100 billion. Mr. Matza also served as Deputy Treasurer at Citigroup.
Richard W. Ginn is a Managing Director in the Strategic Advisory group for Rockefeller Capital Management, leading coverage and deal-origination efforts for financial services companies.
Prior to joining Rockefeller in February 2019, Mr. Ginn was most recently Managing Partner at Westmere Management LLC, a corporate advisory and consulting firm he founded in 2016. He served on the Board of Managers of Pacific Union Financial from January 2018 through November 2018. Previously, Mr. Ginn was a Managing Director in the Global Financial Institutions Group at Bank of America Merrill Lynch and its predecessor Merrill Lynch for over 15 years, where he led the Mortgage Finance and Mortgage REIT investment banking practice from 2011 to 2016.
He also spent two years as a Vice President in the Financial Institutions Group at Lehman Brothers. Prior to his banking career, Mr. Ginn was a CPA with KPMG, working with clients in the financial services industry.
He has led strategic advisory assignments that include mergers, acquisitions, divestitures, and joint ventures across all financial services sectors, as well as capital-raising transactions in both public and private markets. Mr. Ginn has significant global experience from working on cross-border and international transactions with clients in the United States, Central and South America, Europe, and Asia.
Mr. Ginn received an M.B.A. in finance from the New York University Stern School of Business, and the equivalent of a B.B.A. in accounting from Auckland University of Technology (New Zealand). He was formerly licensed as a Certified Public Accountant (California) and a Chartered Accountant (New Zealand).
TIMOTHY SMITH
Managing Director, Operations, Family Office
Timothy Smith is a Managing Director and Head of Operations for the Family Office. Prior to joining Rockefeller Capital Management, Mr. Smith spent 21 years at Ayco, a Goldman Sachs Company, most recently serving as Senior Vice President & Chief Operating Officer of their Private Wealth Management division. Since joining Ayco in 1998, Mr. Smith held a variety of operations-focused positions across their Private Wealth Management division. Mr. Smith began his career in banking operations.
MARTIN J. MANNION
Board Member
Marty is Chairman, Senior Advisor and former Managing Director of Summit Partners. He joined the firm in 1985, and he has led investments in and served as a board director of more than 35 companies, including eight public companies. He is currently a director of CareCentrix and Champion. His prior directorships include ABILITY Network (acquired by Inovalon), AdvaCare (NASDAQ: AVCR, acquired by Medaphis), American Dental Partners (NASDAQ: ADPI, taken private), Bartlett (acquired by Harvest Partners), Clinical Pathology Laboratories (acquired by Sonic Healthcare), Employee Benefit Plans (NASDAQ: EBPI), ImageAmerica (became MedAlliance, NASDAQ: MDAL), Lincare (NASDAQ: LNCR, later acquired by The Linde Group), Liquidnet, MDVIP (acquired by Leonard Green & Partners), Pharmaco Dynamics Research (merged with Applied Bioscience International Inc., NASDAQ: APBI), Sparta Systems (acquired by Thoma Bravo) and Sun Trading.
Prior to Summit, Marty worked as a Systems Engineer at IBM Corporation. He holds an AB in economics from Princeton University and an MBA from Harvard Business School.
Today, Marty serves on the boards of Up Academy (a charter school management company) and Berklee College of Music, and he is a trustee of the Belmont Hill School in Belmont, Massachusetts and Regis High School in New York City. Marty also serves as Chairman of Summit Partners’ Board of Managers. He has previously served on the boards of Big Brothers Big Sisters of Massachusetts Bay, Children’s Hospital Trust of Boston, Harvard Business School Board of Dean’s Advisors, and The Park School in Brookline, Massachusetts.
In 2015, the Healthcare Private Equity Association (HCPEA) presented Marty with its Russell L. Carson Award for lifetime achievement in healthcare investing.
BRIAN KAUFMANN
Board Member
Brian Kaufmann is a Portfolio Manager at Viking Global Investors LP. He currently leads the firm’s private equity investment practice.
From 2010 to 2015, Mr. Kaufmann was a Portfolio Manager and Investment Analyst responsible for identifying, researching, and making public equity investments in the consumer, healthcare, and business services sectors.
From 2005 to 2008, Mr. Kaufmann was an Associate at TA Associates, responsible for originating, researching, and executing private equity investments in the healthcare and business services sectors.
From 2003 to 2005, Mr. Kaufmann was an Investment Banking Analyst in Merrill Lynch’s Mergers & Acquisitions Group.
Mr. Kaufmann earned an M.B.A. from Harvard Business School, where he graduated with High Distinction as a George F. Baker Scholar, and he received a B.S. in applied economics and business management, magna cum laude, from Cornell University.
ANDREA JUNG
Board Member
Andrea Jung is President and Chief Executive Officer of Grameen America, the fastest-growing microfinance organization in the United States. The former Chairman and Chief Executive Officer of Avon Products, Inc., and longtime champion of women’s issues, Ms. Jung was appointed by Grameen’s Founder and Chairman and Nobel Peace Prize Laureate Muhammad Yunus to the position in April 2014. Founded in 2008, Grameen America is dedicated to helping women who live in poverty build small businesses to create better lives for their families. The organization has invested more than $870 million in women’s small businesses around the country.
Ms. Jung, the longest-serving female chief executive in the Fortune 500, is respected as a trailblazer for women. She served as CEO of Avon from 1999 through April 2012, and as Chairman from 2001 through December 2012. As Avon’s first woman CEO and Chairman, Ms. Jung was also the first woman to serve as Chairman of the Cosmetic, Toiletry & Fragrance Association, and as Chairman of the World Federation of Direct Selling Associations.
During her tenure at Avon, she was responsible for developing and expanding economic earnings opportunities for over six million women in more than 100 countries. She has been lauded globally for her pursuit of public-private partnerships to end violence against women and to stem the breast cancer epidemic. Under her leadership, the Avon Foundation for Women raised and awarded nearly $1 billion to support health and empowerment causes, becoming the largest women-focused corporate philanthropy around the world. Ms. Jung’s efforts were recognized by the Clinton Global Initiative, which in 2010 honored her with the Clinton Global Citizen Award for her visionary leadership in solving pressing global challenges.
Throughout her corporate tenure, Ms. Jung ranked consistently among the top leaders on lists including Fortune’s “Most Powerful Women in Business,” Forbes’ “Most Powerful Women in the World,” and the Financial Times’ “Top Women in World Business.”
Ms. Jung is a graduate of Princeton University. She is a member of the Board of Directors of Apple Inc., Unilever, Rockefeller Capital Management, and Wayfair Inc. She previously served on the boards of General Electric and Daimler AG.
SHELLY LAZARUS
Board Member
Shelly has been working, as she would say it, “In the business I love,” for more than four decades, almost all of that time at Ogilvy & Mather.
Shelly rose through the ranks of Ogilvy & Mather assuming positions of increasing responsibility in the management of the company, including president of O&M Direct North America, Ogilvy & Mather New York and Ogilvy & Mather North America. She was named worldwide CEO of Ogilvy & Mather in 1996 and Chairman in 1997. She became Chairman Emeritus in July 2012.
Shelly started at Ogilvy at a time when the agency’s legendary founder David Ogilvy still walked the halls, and personally preached that the purpose of advertising was to build great brands. Under Shelly’s leadership, that essential mission has remained the centerpiece of the company’s philosophy, extending across regions and marketing disciplines, and attracting some of the world’s largest and most respected brands including American Express, BP, Coca-Cola, IBM and Unilever among many others.
Shelly has been a frequent industry honoree. Advertising Women of New York selected Shelly as its Woman of the Year in 1994. She was honored by Women in Communications with their Matrix Award in 1995, was named Business Woman of the Year by the New York City Partnership in 1996, and Woman of the Year in 2002 by the Direct Marketing Association (DMA). Shelly was the first woman to receive Columbia Business School’s Distinguished Leader in Business Award as well as the Advertising Educational Foundation’s (AEF) Lifetime Achievement Award. She was inducted into the American Advertising Federation Hall of Fame in 2013 and is also a Hall of Fame member of the DMA, American Marketing Association and Crain’s New York Business.
Shelly serves on the boards of several corporate, philanthropic and academic institutions: The Blackstone Group, Merck, New York Presbyterian Hospital, Committee Encouraging Corporate Philanthropy, World Wildlife Fund, Partnership for New York City, Lincoln Center, and the Board of Overseers of Columbia Business School, where she received her MBA in 1970. She served for five years as Chairman of the Board of Trustees of Smith College, her alma mater. She is a member of Advertising Women of New York, The Committee of 200, Council on Foreign Relations, and Women’s Forum Inc. She has also served as Chairman of the American Association of Advertising Agencies.
Shelly is the wife of Dr. George Lazarus, a New York pediatrician, and mother to their three grown children.
JOHN J. BRENNAN
Board Member
John J. Brennan is chairman emeritus and senior advisor of Vanguard, one of the world’s largest investment companies. Headquartered in Malvern, Pennsylvania, Vanguard currently has more than $4 trillion in assets under management. Mr. Brennan joined Vanguard in July 1982. He was elected president in 1989, served as chief executive officer from 1996 to 2008, and served as chairman of the board from 1998 to 2009.
He is a director of Guardian Life Insurance Company of America, American Express Company, and Rockefeller Capital Management; chairman of the board of trustees of the University of Notre Dame; a founding trustee of King Abdullah University of Science and Technology (KAUST); chairman of Vanguard Charitable; and a member of the Pennsylvania Early Learning Investment Commission. He is past chairman of the Financial Industry Regulatory Authority (FINRA), the Financial Accounting Foundation, and the Investment Company Institute.
Mr. Brennan graduated from Dartmouth College and earned a master’s degree in business administration from the Harvard Business School. He has received honorary degrees from Mount Aloysius College, Curry College, and Drexel University.
PAUL MYNERS
Board Member
Paul Myners is a former Minister in the United Kingdom’s Treasury and a past member of the Court of the Bank of England. Myners has substantial private sector experience. He ran one of the UK’s largest institutional investors for nearly 20 years, and has served on many boards, including GIC, Singapore’s sovereign wealth fund; Lloyd’s of London; Coutts & Co.; and The Bank of New York. Myners has also chaired several public UK companies, such as retailer Marks & Spencer and Land Securities, Europe’s largest REIT.
He became a member of the Court of the Bank of England in 2004 and was appointed Treasury Minister in the fall of 2008, with a specific brief for managing the UK’s response to the banking crisis. He was at the same time elevated to membership of The House of Lords.
His not-for-profit roles have included chairing Tate, the UK’s galleries for both British and international modern and contemporary art, and a trustee of both the Royal Academy and the National Gallery. In addition to being a Lord, Myners has also been awarded the title Commander of the British Empire by Her Majesty the Queen.
Currently, Myners is the Chair and a partner of Cevian Capital, Europe’s largest activist fund manager; Chairman of Edelman UK; and Chancellor of the University of Exeter. He is the former Chair of the London School of Economics. Myners received his first degree from the University of London and an honorary doctorate in law from the University of Exeter. He is a Fellow of Nuffield College, Oxford, the London Business School, and the Royal Society for the Encouragement of Arts, Manufactures and Commerce. He has been awarded the standing of Freeman of the City of London.
BRIAN McNAMARA, CFA®
Associate Portfolio Manager
Brian McNamara, CFA©, is an Associate Portfolio Manager within the Investment Group. Prior to his current position, Mr. McNamara was a Trading Room Specialist within the Investment Group. He joined the trading room after spending three years with Rockit Solutions, LLC, where he performed several roles within the Operations Department. Prior to joining Rockefeller, Mr. McNamara held an internship at Prudential Securities, Inc. in Syracuse, N.Y. He is a Chartered Financial Analyst® charterholder. Mr. McNamara received an M.B.A. in finance from Mercy College, along with a B.S. in finance and B.A. in economics from SUNY Oswego.
NATHAN TROUTMAN
Senior Advisor
Nathan Troutman is a Senior Advisor to Rockefeller Capital Management. During his investment career, he has built a top-tier investment track record making direct investments, restructuring companies, and troubleshooting investment problems across varied asset classes. Over the past 20 years, he has also become known for his effectiveness in working with some of the world’s leading business families in areas as diverse as Latin America, Africa, Europe, and New Zealand.
An important part of Nathan’s career was working with Microsoft cofounder Paul Allen. Nathan led a complete reorganization of Mr. Allen’s multibillion-dollar portfolio. To facilitate that process, Nathan formed Vulcan Capital, an institutional-quality, multi-asset-class team of investment professionals. In addition to serving as Board Chairman of The Sporting News and board member of Oxygen Media, TechTV, and Digeo, Nathan headed the Investment Committee and served on the President’s Council with CEOs and Presidents of companies controlled by Paul Allen. Nathan also was a key member of strategy teams for Microsoft, Charter Communications, DreamWorks SKG, Mr. Allen’s sports investments, and his philanthropic activities. Building on his experience and success with Paul Allen, Nathan formed Privatus Partners, where he advises significant family offices on a range of investment-related topics, including direct investments.
During his early Wall Street career, Nathan spent eight years in investment banking, focusing on mergers & acquisitions, merchant banking and restructurings at Lehman Brothers and Smith Barney.
Nathan holds an M.B.A. from Kellogg Business School as part of a condensed J.D./M.B.A program at Northwestern University. He received his Bachelor of Science degree in business administration from Florida State University.
BRIAN C. McK. HENDERSON
Senior Advisor
Brian C. McK. Henderson is a Senior Advisor for Rockefeller Capital Management. In addition to his new role as a Senior Advisor to Rockefeller, Mr. Henderson is the founding partner of Henderson International Advisors, LLC, which he started in April 2014. Mr. Henderson spent most of his career with Merrill Lynch, where he held a variety of senior roles over 23 years, including as Director of Communications, Merrill Lynch Capital Markets; Senior Vice President, Merrill Lynch International; and Executive Assistant to the Chairman and President. He was also on the boards of Prime Merrill SpA (Italy) and Merrill Lynch South Africa. Before joining Merrill, Mr. Henderson spent 14 years with Chase Manhattan Bank, with responsibilities that covered multiple divisions and continents. Mr. Henderson is the non-executive Chairman of Augustea Bunge Maritime Ltd., and an independent director for BMCE Bank of Africa. He is on the advisory board of the Spanish law firm Cremades & Calvo-Sotelo. Mr. Henderson also serves on many not-for-profit boards and was previously on the Ethics and Policy Committee of the DDC for the First Judicial Department, Supreme Court Appellate Division, State of New York. He is a graduate of Georgetown University’s School of Foreign Service.
RICHARD J. COSTER
Senior Vice President, Senior Manager of Client Accounting
Richard J. Coster is a Senior Vice President and Senior Manager of Client Accounting. Prior to joining Rockefeller in 2016, Mr. Coster served on the management team of Charles Pratt & Company, LLC, a family office that provides professional financial services for the descendants of Charles Pratt and selected private clients. Mr. Coster began his career at BDO Seidman, where he provided financial management and tax planning to high-net-worth individuals and small businesses. He received a B.A. from Muhlenberg College and both an M.B.A. and M.S. in taxation from Fordham University.
ANTHONY GROSSO
Managing Director, Divisional Director
Tony joined Rockefeller Capital Management in December 2018 and is currently the Division Director overseeing the San Francisco office and Bay Area. He is responsible for and is actively building out the Private Wealth Business in Northern California for the Firm. Tony spent 15 years as a Managing Director at Merrill Lynch, where he was a senior leader of the Ventures Services Group, a team focused on advising private equity and venture firms. Grosso additionally served as a Senior Resident Director for Merrill Lynch from 2009 to 2013.
Prior to Merrill Lynch, Tony joined Robertson Stephens in 1999 to manage the Venture Services Group, which Merrill acquired three years later. The entire team moved to Merrill as part of the deal, growing the business to serve a significant segment of the private equity community.
Tony started his career in institutional equity sales at C.J. Lawrence in New York and moved to San Francisco in 1986 to join institutional equity sales at Donaldson, Lufkin & Jenrette (DLJ). He covered West Coast accounts at DLJ for more than a decade before joining Robertson Stephens.
Tony has a bachelor’s degree from Rensselaer Polytechnic Institute (RPI) and an M.B.A. from St. John’s University.
Brian Lessig is a Managing Director in the Strategic Advisory group focused on M&A and capital raising for Rockefeller Capital Management.
Mr. Lessig was previously the founder and President of Grace Bay Ventures, LLC, an advisory, consulting, and investment firm focused primarily on the financial services, sports entertainment, healthcare, technology, and blockchain industries. Selected advisory work at Grace Bay Ventures included M&A advisor to Derek Jeter, and eventually the entire buyer group, for the $1.2 billion purchase of the Miami Marlins baseball club.
Previously, Mr. Lessig co-founded multiple businesses, and served in leadership roles, principally in the financial services and technology/medical device industries.
Prior to these entrepreneurial ventures, he was Managing Director in the Financial Institutions Investment Banking Group at Merrill Lynch, where he led strategic advisory assignments that included mergers, acquisitions, divestitures, as well as capital-raising transactions in both public and private markets, primarily in the asset management, specialty finance, insurance/wholesale brokerage, and infrastructure sectors. Prior to joining Merrill Lynch, he worked for Ernst & Young as an auditor; he also lectured to CPA candidates preparing to take the CPA examination.
He graduated summa cum laude with a B.B.A. in accounting from Hofstra University and received an M.B.A. with distinction from the Kellogg School of Management at Northwestern University.
PHILIP GREER
Senior Advisor
Philip Greer is a Senior Advisor at Rockefeller Capital Management. Prior to joining Rockefeller, Mr. Greer was the founder of Greer Anderson Capital. Before co-founding Greer Anderson Capital LLC in 2008, Mr. Greer was a founding partner, Senior Managing Partner, and member of the Executive Committee of Weiss, Peck & Greer (“WPG”) from 1971 to 1998. WPG managed in excess of $20 billion and was sold in 1998 to Robeco, an investment management firm based in Rotterdam. Mr. Greer remained with the firm through 2002. Mr. Greer was an early-stage investor through WPG venture funds and served as a director of Federal Express Corporation from 1974 to 2008. He was Chairman of the FedEx board’s Compensation Committee for five years, and, before that, was Chairman of the Audit Committee for 25 years. Mr. Greer was also a director of The Robert Mondavi Corporation from 1992 to 2004, where he served as Chairman of the Audit Committee. Mr. Greer has served for 25 years as a trustee of Deerfield Academy and was President of the Board from 2008 to 2014. He has been elected one of two lifetime trustees in the history of the school. Mr. Greer served as a trustee of the Board of Administrators of Tulane University from 1998 to 2009, including a three-year term as Chairman. Mr. Greer holds an A.B. degree from Princeton University and an M.B.A. from Harvard Business School.
GARY ANDERSON
Senior Advisor
Gary Anderson is a Senior Advisor at Rockefeller Capital Management. Prior to joining Rockefeller, Mr. Anderson served as Greer Anderson’s Chief Investment Officer and Managing Partner since its founding in 2008. Before co-founding Greer Anderson Capital LLC in 2008, Mr. Anderson was a member of the investment team and responsible for business development at Diker Management, a hedge fund based in New York City. Prior to that, Mr. Anderson served as the Director of Investments for Tulane University’s Investment Management Office. While at Tulane, Mr. Anderson participated in creating a dedicated office responsible for managing their diversified $1 billion endowment. Mr. Anderson also worked for Lighthouse Capital Partners, a Menlo Park, Ca.–based venture debt/capital firm, and Salomon Smith Barney in New York City. Mr. Anderson is an emeritus member of the Business School Council of the A.B. Freeman School of Business at Tulane University. Mr. Anderson holds a B.A. degree from Villanova University and an M.B.A. from the A.B. Freeman School of Business at Tulane University.
DAVID ROCKEFELLER, JR.
Board Member
David Rockefeller Jr. is a long-standing businessman and philanthropist. He has held many positions amongst Rockefeller-related entities, as well as in nonprofits that support the arts and the environment. Mr. Rockefeller previously served as Chairman of the Rockefeller Foundation and Rockefeller Brothers Fund, as well as President of the Rockefeller Family Fund. He was twice Chairman of Rockefeller & Company, which became Rockefeller Capital Management in 2018, and where he now serves as a Director. He is a trustee of the Rockefeller Brothers Fund and the David Rockefeller Fund, as well as a member of the Council on Foreign Relations. True to his family’s legacy of land preservation, Mr. Rockefeller served as Citizen Chair of the National Parks Foundation from 1995 to 2005. Mr. Rockefeller is a life trustee of the Museum of Modern Art, a trustee of the Asian Cultural Council, and a fellow of the Academy of Arts and Sciences. Mr. Rockefeller’s commitment to environmental preservation—and passion for sailing—led him to found the nonprofit organization Sailors for the Sea (SfS) in 2004. In 2018 SfS joined forces with the global ocean conservation organization Oceana, becoming one of its programs. Mr. Rockefeller is now a director of Oceana.
PETER M. O’NEILL
Board Member
Peter M. O’Neill is active on the boards of a number of not-for-profit organizations and private companies.
Mr. O’Neill is a current member of the Investment Committee and Chair of the Audit Committee of the Rockefeller Family Fund and was President of the Rockefeller Family Fund from 2001 to 2004. He is on the Audit Committee, Investment Committee, and Executive Committee of the Rockefeller Brothers Fund.
Mr. O’Neill presently chairs the Room 2500 LLC and, in addition, he is a director and a member of the Audit and Compliance Committee of Rockefeller Capital Management. Mr. O’Neill is a director of Meriwether Capital LLC, a private equity firm.
Mr. O’Neill has also held a number of Rockefeller Family–related positions, including Chair of the Family Council, Chair of the Fifth/Sixth Generation Association, and Chair of the Room 5600 operating committee.
At International House, New York, Mr. O’Neill is a trustee and Chair of the Executive Committee, Cochair of the Building Design Subcommittee, and a member of the Governance Committee and Personnel Practices Committee. Mr. O’Neill is a trustee of Winrock International at Arlington, Va,, and serves as a member of its Governance Committee and Audit Committee.
Mr. O’Neill holds a Master of Social Work degree from Columbia University, and he served as an adjunct associate professor at the Columbia University School of Social Work for ten years. He also received a two-year postgraduate degree from the Ackerman Institute for the Family. Mr. O’Neill started his career as an individual and family therapist at the Boys & Girls Harbor in East Harlem, New York, where he held a variety of positions from 1993 to 2006, including Director of the Clinic’s Training and Internship Program, and Director of the Children’s Clinic (an Office of Mental Health–licensed clinic).
JONATHAN EISENBERG
General Counsel
Jonathan Eisenberg is the General Counsel of Rockefeller Capital Management. He is a member of the firm’s Executive Committee.
Jon was previously the General Counsel for UBS Wealth Management Americas and, prior to that, was the Co-Head of Global Litigation, Regulatory, and Employment Law at Merrill Lynch, where he worked for 12 years.
He has significant experience in both private practice and at major financial institutions, and early in his career worked in the Securities and Exchange Commission’s Office of General Counsel. He has been the Co-Chair of the SEC Enforcement and Civil Litigation section of the American Bar Association’s Business Law section; the Chair of the Corporation, Finance, and Securities Law section of the D.C. Bar; a member of the Board of Trustees of the New York City Bar Justice Center; and a member of the Board of Editors for Lexis/Nexis securities law publications.
Jon earned his bachelor’s degree from Cornell University and his J.D. from the University of Virginia School of Law.
A prolific legal writer, Jon has written more than 60 articles on legal developments affecting financial institutions. He was the first recipient of the Global Counsel Award, recognizing outstanding achievement by an in-house lawyer in the field of litigation.
