For current perspectives on the businesses, investors, and the financial markets click here.
THE PENNINGTON GROUP

A passion for providing comprehensive and customized wealth management solutions
Investing to achieve what’s on your mind and in your heart

At The Pennington Group, headquartered in Washington, D.C., we believe the foundation of every relationship is built on care, trust and respect. We carry this belief in our passion for providing comprehensive wealth management solutions to ultra-high-net worth individuals and their multi-generational families.

As part of Rockefeller Capital Management, we leverage the firm’s rich history in helping wealthy families and individuals manage the nuances and complexities of multi generational wealth. Our clients benefit from being part of a special boutique environment that offers the highest levels of service and unparalleled access to industry-leading products and estate-planning and family-office services. Every strategy and cohesive wealth plan we create is personal and custom to each client’s unique needs and situations. We care deeply about their successes and treat them all as if they were part of our own family.

Contact us to learn more about our high-touch approach to helping individuals and their families achieve their life goals.

THE PENNINGTON GROUP

(202) 890-8055

900 17th Street NW
Suite 603
Washington, D.C. 20006

“At Rockefeller Capital, our clients benefit from being part of a special boutique environment with access to products and services that you cannot get anywhere else.”

Laura Pennington, Managing Director, Private Wealth Advisor

At The Pennington Group, the foundation of every relationship is built on care, trust and respect. This comes through in every personalized wealth strategy and solution we create—each designed to enable clients to achieve what’s in their hearts and minds.

LAURA N. PENNINGTON, CFP®, CIMA®

Managing Director, Private Wealth Advisor

LPennington@rockco.com
(202) 890-8055
Biography +

FABIENNE TREMBLAY

Associate Private Wealth Advisor 
FTremblay@rockco.com
(202) 890-8056
Biography +

CHLOE DUANSHI, CFA®

Head of Quantitative Research and Portfolio Construction

JOSEPH ROBERTS

Head of Wealth Strategy

ELISABETH "LISI" MADDEN

President of Rockefeller Trust Company, N.A

JACKIE C. KLABER

Head of Opportunistic Investing

DAVID O'LEARY

Senior Vice President, Head of Insurance and Annuity

BARRY A. WINTNER, CFA®

Head of Manager Approval

JIMMY C. CHANG, CFA®

Chief Investment Officer, Rockefeller Global Family Office

CHERYL ROWAN

Investment & Portfolio Strategist – Chief Investment Office

KENNETH WILLETTS

National Wealth Advisory Services Manager – Senior Vice President

“I have been fortunate throughout my career to engage with great mentors.  Many of those influential figures ran businesses or were serial entrepreneurs.  Watching how they built and grew their businesses and assisting them in planning for their ensuing wealth and its impact on future generations is the core knowledge that has informed the investment philosophy and wealth management mission statement for Merlin Wealth Management.  So, when we find advisor teams, like the Pennington Group, that have a similar passion for thoughtful asset management and a genuine caring for clients and their families, it creates a natural partnership that should only make the client experience even more powerful.”

                                                                      – Michael Merlin, Founder Merlin Wealth Management

Michael Merlin

Managing Director, Founder of Merlin Wealth Management 

Adam Compton

Senior Vice President, Director of Investments at Merlin Wealth Management 

John Wagner

Analyst, Private Wealth Advisor Analyst at Merlin Wealth Management 
A leading private wealth practice…
Customized Investment Strategy Design

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

Portfolio Management & Optimization

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

Investment, Tax & Legal Advisor Coordination

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

Risk Management

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

Cash Management, Optimization, & Access

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

Ongoing Monitoring & Performance Analytics

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

merged with holistic advisory and family office services.
The Rockefeller difference is our unique combination of holistic and specialized services, designed to complement world-class wealth planning and advisory.

• Financial Accounting & Bookkeeping

• Trust & Estate Planning

• Family Legacy & Governance Advisory

• Bill payment

• Philanthropic advisory

• Human Resources Services

• Cash flow and liquidity planning

• Bill payment

• Next Gen Financial Education

• Aggregated Reporting

Rockefeller Capital Management provides strategic advice to ultra-high-net worth families, family offices, individuals and corporations. Families that own businesses or are interested in purchasing a business can come to Rockefeller Capital Management for thoughtful, tailored advice on whether to sell a business, sell a portion of a business, purchase a business or grow an existing business.
Rockefeller Capital Management also works with corporations seeking customized, innovative solutions and independent advice on strategic transactions. Our focus is to deliver exceptional results for our clients through flawless execution and to help clients achieve their strategic goals.

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

• Differentiated, independent advice for entrepreneurs and business owners

• Execution across private and public companies owned or operated by our clients

• Mergers, acquisitions, divestitures, capital raises

• Real estate advisory

• Sports franchise advisory

Rockefeller Asset Management serves individuals, families and institutional investors whose focus on alpha generation requires an experiences partner with a demonstrable investment history. With more than 30 years of experience in global investing, we offer Equity and Fixed Income strategies whose performance over multiple market cycles is driven by a disciplined process and our collaborative culture.

Equity Strategies

  • We offer global, U.S., and non-U.S., thematic dedicated environmental, social and governance (“ESG”) equity strategies for institutions and individuals. A core differentiator of Rockefeller’s approach is our well established practice of constructively engaging shareholders in a way that drives long-term value creation across portfolios and improves ESG standards globally.

Fixed Income Strategies

  • We offer a range of tax-exempt and taxable fixed income strategies, serving high-net worth and family office clients. Our fixed income investment process employs an analysis of macro-economic conditions complemented by fundamental credit research set within a sophisticated risk management and portfolio construction framework.

We are pleased to offer our clients and their families special access and privileges through a handful of thoughtfully vetted and selected partners – each preeminent providers in their respective fields – providing highly personalized support on how to simplify, navigate, and elevate modern life.

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

Private Health Advisory
• Proactive health and wellness support, travel/emergency contingency 24/7 and complete management of any health concern.

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

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

Art Advisory
• With access to specialists in art and collectibles globally, experts will provide guidance through the sales and acquisition process.

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

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

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

Once in a Lifetime Experiences
• Almost any “bucket list” wish can be fulfilled for Rockefeller clients with VIP-savvy concierge experts who can pave the way to once-in-a-lifetime experiences, whether meeting global stars, participating in iconic events, or realizing other long-held dreams.

Unique Travel Experiences
• A leading travel concierge service that offers exclusive planning and booking for Rockefeller clients seeking unforgettable vacations. Clients have access at member-only rates to unique settings and destinations with family privileges.

Purpose-Driven Wine Platform
• A leading wine-appreciation platform offering a single source for Rockefeller clients interested in fine wines, insider offers and access to unique experiences. Clients can obtain allocated, reserve, library and collector-level wines. Through the Rockefeller Live Well Do Good Membership Program, a portion of profits go to support The Ocean Foundation.

Cyber Security
• An exclusive boutique company with a proven history of providing elite cyber-protection services for all digital security needs of individuals and their families to eliminate the risk of cyberattacks.

Request an Introduction 

Please complete the form below. Fields marked with an asterisk (*) are required. You will be contacted shortly. We will not distribute any of your personal information that is submitted on our site. This includes your email address, postal address, phone number, and any other personal data.

preferred method of contact*

To help us assess your needs, can you share a range for your investable assets?

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Our Ideas
Broken Promises
Broken Promises
The rise and fall of an “altruistic billionaire”
Game of Thrones
Game of Thrones
Political fratricides & the weaponization of oil
Uniquely Rockefeller Special Client Event – Lessons from a Leading Growth Investor with Warburg Pincus CEO Chip Kaye
Uniquely Rockefeller Special Client Event – Lessons from a Leading Growth Investor with Warburg Pincus CEO Chip Kaye
A Conversation with Chip Kaye, CEO of Warburg Pincus
Load More
LAURA N. PENNINGTON

LAURA N. PENNINGTON

Managing Director, Private Wealth Advisor

 

Laura Pennington is a Private Wealth Advisor at The Pennington Group of Rockefeller Capital Management.

With nearly 30 years of experience in the financial services industry, Laura focuses on building customized strategies to help ultra-high-net-worth individuals and their multigenerational families obtain their goals and aspirations. Before joining Rockefeller Capital in January 2020, she was a Senior Vice President at UBS. A personal wealth manager since 2001, Laura also spent time on municipal bond trading desks in New York and worked in many capacities as part of an institutional consulting team in Washington, D.C.

Laura earned her bachelor’s degree in economics from Rollins College. She studied abroad at the London School of Economics and University of London, where she gained a global perspective and true appreciation for the financial markets. A Certified Financial PlannerTM, Laura also earned her Certified Investment Management Analyst designation through coursework at the Investments and Wealth Institute and the Wharton School of Business at the University of Pennsylvania.

Laura lives in Washington, D.C., where she’s active in her community. She has served as a committee member and chair for many art, children’s, and animal welfare charities, and has been a board member of the Washington International Horse Show for the past 10 years. An animal lover, Laura also enjoys skiing, horseback riding, traveling, running and spending time with her husband and their two children.

You have Successfully Subscribed!

FABIENNE TREMBLAY

FABIENNE TREMBLAY

Associate Private Wealth Advisor

 

At Rockefeller, Fabienne focuses on client support and team operations. Before joining Rockefeller, Fabienne was an Analyst at Strategic Investment Group and an Assistant Manager at Cambridge Associates, both companies focusing on Institutional relationships including Endowments, Foundations and Pension Funds.

Fabienne graduated from Université de Sherbrooke in Québec, Canada, with a Bachelor of Business Administration and is a CFA® Level I Candidate. She grew up near Montréal, Canada and is fluent in French.

Outside of the office Fabienne enjoys all things active including: hiking, skiing, running, and sailing. She loves to cook, travel, and enjoys spending time with her dog, family and friends. She is also a member of the Young Professionals Committee for the N Street Village in Washington, DC.

You have Successfully Subscribed!

MICHAEL MERLIN

MICHAEL MERLIN

Managing Director, Founder of Merlin Wealth Management 

 

Michael is the Co-Manager of the three Merlin Wealth Management proprietary equity strategies. He has 11 years of portfolio management experience in both equities and fixed income where he has built a track record offering attractive performance.

Michael has been named to Barron’s list of America’s Top 1,000 Advisors, On Wall Street’s list of America’s top advisors under 40, Forbes’ list of America’s Best-in-State Wealth Advisors, and The Financial Times’ Top 400 Financial Advisors. Michael has also been published several times in the Atlanta Business Chronicle, writing mainly about the importance of financial literacy and communicating planning and best practices with next generations.

He graduated cum laude from Northwestern University with a bachelor’s degree in Economics. Michael lives in Atlanta with his wife Caren and their two sons. Their deep commitment to the community is reflected in Michael’s service to several non-profit organizations. This includes serving as the Southeast Regional Board Chair of the Anti-Defamation League from 2011 to2013 and currently as a director on the boards of the Atlanta Jewish Foundation and the Jewish Family and Career Services Foundation.

You have Successfully Subscribed!

ADAM COMPTON

ADAM COMPTON

Senior Vice President, Director of Investments at Merlin Wealth Management 

 

Adam is Co-Manager of the three Merlin Wealth Management proprietary equity strategies. He has over 25 years of portfolio management and securities analysis experience. While co-managing the portfolios, Adam rebuilt the already successful Merlin Wealth Management fundamental process with a strong institutional overlay of risk management and controls. Additionally, he expanded primary research capabilities to reduce reliance on Street resources.

Previously, Adam was a Managing Director and Portfolio Manager at GMT Capital, where he spent 9 years running a global long-short equities portfolio . Before that he managed equity portfolios and was the head of U.S. Financial Services Research at Allianz Global Investors in San Francisco. Prior to his portfolio management career, Adam was a sell-side equity analyst and Senior Vice President at Keefe Bruyette & Woods, a Vice President at Morgan Stanley, a Vice President at Bank of America Securities, and an associate at Smith Barney. He also spent three years as a bank regulator for the State of Florida during the banking crisis of the late 1980s-early 1990’s. Adam also spent a year at a Santa Clara-based financial technology company as head of finance.

Adam earned his MBA, with distinction, from Cornell University and his bachelor’s degree in Business, cum laude from Houghton College, where he currently is on the President’s Advisory Board. He also spent five years as a member of the Investors Technical Advisory Committee for the Financial Accounting Standards Board (FASB) where he advised to improve accounting for the Banking Industry post the Global Financial Crisis.

You have Successfully Subscribed!

JOHN WAGNER

JOHN WAGNER

Analyst, Private Wealth Advisor Analyst at Merlin Wealth Management 

 

John Wagner is an Analyst on the Merlin Wealth Management team at Rockefeller Capital Management. John joined the team in January 2020 after graduating manga cum laude from the Georgia Institute of Technology with a bachelor’s degree in Business Administration and Management, with a Finance Concentration.

John’s primary role is to support the efforts of the Merlin Wealth Management investment team in the maintenance, management, and structuring of the team’s five proprietary investment strategies.

John continues to give back to his community, most recently through Outreach360, a program in which he taught English in the Dominican Republic, and by raising money for Children’s Healthcare of Atlanta through Georgia Tech’s For The Kids Dance Marathon. He has also been an active volunteer with Habitat For Humanity and was a hospital volunteer in the North Georgia Health System.

You have Successfully Subscribed!

CHLOE DUANSHI, CFA®

CHLOE DUANSHI, CFA®

Head of Quantitative Research and Portfolio Construction

 

Chloe Duanshi is the Head of Quantitative Research and Portfolio Construction at Rockefeller Capital Management.

In this role, she is responsible for developing broad capital market outlooks – strategic and tactical asset allocation guidance – for the Rockefeller Global Family Office. Chloe also works with advisors and clients to construct bespoke multi-asset portfolios, utilizing both traditional and alternative investment strategies.

Prior to 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 Morgan Stanley, Chloe worked at BNP Paribas, where she was responsible for structuring custom leverage solutions for hedge funds within the equities and commodities derivatives space.

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

You have Successfully Subscribed!

JOSEPH ROBERTS

JOSEPH ROBERTS

Head of Wealth Strategy

 

Joseph Roberts is a Managing Director, Head of Wealth Strategy at Rockefeller Capital Management in Philadelphia. 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.

You have Successfully Subscribed!

ELISABETH “LISI” MADDEN

ELISABETH “LISI” MADDEN

President of Rockefeller Trust Company, N.A

 

Elisabeth “Lisi” Madden is a Managing Director and President of Rockefeller Trust Company, N.A at Rockefeller Capital Management. She is a member of the firm's Management Committee.

Prior to joining the Rockefeller Trust Company, 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.

You have Successfully Subscribed!

JACKIE C. KLABER

JACKIE C. KLABER

Head of Opportunistic Investing

 

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

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

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

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

You have Successfully Subscribed!

DAVID O’LEARY

DAVID O’LEARY

Senior Vice President, Head of Insurance and Annuity

 

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

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

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

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

You have Successfully Subscribed!

BARRY A. WINTNER, CFA®

BARRY A. WINTNER, CFA®

Head of Manager Approval 

 

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

You have Successfully Subscribed!

JIMMY C. CHANG, CFA®

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

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

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

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

You have Successfully Subscribed!

CHERYL ROWAN

CHERYL ROWAN

Investment & Portfolio Strategist – Chief Investment Office 

 

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

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

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

You have Successfully Subscribed!

KENNETH WILLETTS

KENNETH WILLETTS

National Wealth Advisory Services Manager - Senior Vice President

 

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

You have Successfully Subscribed!