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THE SARGENT GROUP

We manage money for some of the world’s wealthiest families

The Sargent Group at Rockefeller Capital Management focuses exclusively on servicing the needs of some of the wealthiest families in the world.

We do things differently—and see things differently. Our priorities are performance, service and delivering the highest-quality client experience.

As a team, and with the substantial resources of Rockefeller Capital Management behind us, we seek out and deliver differentiated solutions that help our clients maximize their financial and private capital.

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

THE SARGENT GROUP

(212) 549-5110

45 Rockefeller Plaza
Floor 5
New York, NY 10111

100 First Stamford Place
Suite 201
Stamford, CT 06902

“When people ask me why I think the family has succeeded, I say that the family has chosen to have high-level advisors whom they totally trust and who are not just yes-men and -women but you know give their honest opinions”
-David Rockefeller Jr.

 

JOHN SARGENT

Managing Director, Private Wealth Advisor
JSargent@rockco.com
212-549-5110

DAN MARCHON, CFA®

First Vice President, Private Wealth Advisor
DMarchon@rockco.com
212-549-5111

BRUCE HARTING, CFA®

Team Chief Investment Officer, Private Wealth Advisor
BHarting@rockco.com
212-549-5117

JACK LOCKWOOD

Client Associate
JLockwood@rockco.com
212-549-5112

TREVER SIPPERLY

Vice President, Senior Portfolio Analyst
TSipperly@rockco.com
212-549-5116
Biography +

ASHTON POOLE

Reporting Analyst
APoole@rockco.com
212-549-5165
Biography +
“What sets us apart is being entrusted with the legacies of some of the world’s most successful entrepreneurs, innovators, visionaries – and their families. Together, we view wealth not as a prize but as potential.”
– Gregory J. Fleming, President and CEO

TIMOTHY D. O'HARA

President of Family Office & Co-Head of Global Family Office

JIMMY C. CHANG CFA®

Chief Investment Officer, Rockefeller Global Family Office

CHLOE DUANSHI CFA®

Head of Quantitative Research & Portfolio Construction

JOSEPH D. ROBERTS

Head of Wealth Strategy

JIM RATIGAN

President, Strategic Advisory

JACKIE KLABER

Head of Opportunistic Investing

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

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

Portfolio Management & Optimization

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

Investment, Tax, & Legal Advisor Coordination

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

Risk Management

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

Cash Management, Optimization, & Access

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

Ongoing Monitoring & Performance Analytics

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Our Ideas
Uniquely Rockefeller Special Client Event – Bruce Flatt
Uniquely Rockefeller Special Client Event – Bruce Flatt
A Conversation with Bruce Flatt, CEO of Brookfield Asset Management
Engaging Ideas: Acceleration of Decarbonization Driven by the War in Ukraine
Engaging Ideas: Acceleration of Decarbonization Driven by the War in Ukraine
The outbreak of war in Ukraine has quickly galvanized the European Union’s commitment to reduce its reliance on Russian energy and accelerate its plans to increase the region’s renewable energy capacity. In this new commentary, we review the short- and long-term implications of this dynamic and the investment implications.
Energy, Security, Groceries
Energy, Security, Groceries
Time to focus on Main Street’s ESG
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JOHN SARGENT

JOHN SARGENT

Managing Director, Private Wealth Advisor

 

John Sargent is a Managing Director and Private Wealth Advisor at Rockefeller Capital Management.

Before joining Rockefeller in 2020, John had been with Morgan Stanley since 2003. Prior to his experience in the financial services industry, he was an advertising executive at the Wall Street Journal, where he worked from 1996 to 1999 and helped launch the highly successful “Weekend Journal.”

Every year since 2012, John has ranked among the Barron’s Top 100 Financial Advisors in New York. He was also named by the Financial Times as one of America’s Top 400 Financial Advisors in 2016, 2017 and 2018, and was named by Forbes as one of New York’s Top Financial Advisors in 2018.

John has been interviewed and quoted extensively in industry publications, sharing his views on asset allocation, investment manager selection and growing a private wealth management business.

He graduated from Yale University with a B.A. in History (with distinction) and holds an M.B.A. from Columbia Business School.

A native of Southern California, John and his wife Heather live in Greenwich, Conn., with their four children. He is active in his community as a soccer and basketball coach and teaches Sunday School at his family’s church, St. Barnabas Greenwich.

John and Heather are Committee Chairmen of the New York chapter of the Juvenile Diabetes Research Foundation (JDRF), and have been the number-one fundraising team in New York for six years running. In addition, John is a trustee and the Chairman of the Institutional Advancement Committee of General Theological Seminary, the oldest and largest Episcopal Seminary in the United States, situated on three acres in the middle of Chelsea in New York City.

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DAN MARCHON, CFA®

DAN MARCHON, CFA®

First Vice President, Private Wealth Advisor

 

Dan Marchon is First Vice President and Private Wealth Advisor at Rockefeller Capital Management.

In serving the needs of ultra-high-net-worth individuals and families, Dan’s responsibilities include strategic asset allocation, portfolio construction and business development. He also conducts third-party manager selection, including due diligence meetings with portfolio managers.

Before joining Rockefeller in 2020, Dan had been with Morgan Stanley since 2018. He also has worked as an investment analyst at both a family office (Westside Avenue Holdings/Eureka Investments) and a hedge fund that spun out of a family office (Mercator Fund).

Previously, Dan spent four years as an equity research analyst at Raymond James, where he covered bank stocks and was responsible for the largest and most complex financial institutions under coverage. He worked closely with the management teams of covered companies and made regular media appearances, becoming the youngest firm employee to be interviewed on CNBC.

Dan graduated with distinction in 2011 from the Kenan-Flagler Business School at the University of North Carolina at Chapel Hill with a B.S. in Business Administration. He earned his Chartered Financial Analyst (CFA) designation in 2015. Dan earned an M.B.A. (with Dean’s Honors) from Columbia Business School in 2017.

Originally from Melville, N.Y., Dan and his wife Jackie now live with their twin sons and dog in New York City. Dan loves sports and travel, is a member of the CFA Society New York, and is an active volunteer with Rescuing Leftover Cuisine (RLC).

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JACK LOCKWOOD

JACK LOCKWOOD

Client Associate

 

Jack Lockwood is Client Associate at Rockefeller Capital Management.

Before joining Rockefeller in 2020, Jack had been with Morgan Stanley since 2018. He began his professional career as a Financial Advisor at Princeton Equity Partners, where he helped build and nurture the alternative investment business. Jack now applies that knowledge and experience in his current role on The Sargent Team.

Jack graduated in 2015 from Rollins College with a Bachelor’s Degree in Finance and Economics.

When he’s not in the office, Jack enjoys playing golf, fly fishing, skiing and hunting.

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TREVOR SIPPERLY

TREVOR SIPPERLY

Vice President, Senior Portfolio Analyst 

 

Trever joined Rockefeller in 2020 after spending five years managing a team of service professionals within Morgan Stanley’s Private Wealth Management Division.

Prior to Private Wealth Management, Trever was a Wealth Advisory Associate where he created and developed financial planning services for Morgan Stanley’s ultra-high net worth client segment.

Trever graduated from the University of Notre Dame in 2010 with a B.A. in Finance.  At Notre Dame, Trever was a member of the 2010 NCAA Lacrosse National Championship Finalist team.  In 2011, Trever elected to spend his 5th year of lacrosse eligibility at Bryant University where he earned an M.B.A..

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BRUCE HARTING, CFA®

BRUCE HARTING, CFA®

Team Chief Investment Officer, Private Wealth Advisor

 

Bruce Harting is the Team Chief Investment Officer, Private Wealth Advisor for the Sargent Group at Rockefeller Capital Management.

Prior to joining Rockefeller in 2022, Bruce was the Head of North American Commercial Bank Coverage in the Investment Banking Group at Deutsche Bank in New York for five years. Before joining Deutsche Bank, he spent 6 years as an investment banker covering banks and specialty finance companies at Credit Suisse and Barclays.

Prior to his transition to investment banking in 2013, Bruce was the #1 ranked equity research analyst covering specialty finance companies in the US, having spent 25 years as an analyst at Barclays, Lehman Brothers and Salomon Brothers. During this time, Bruce appeared frequently in the news media giving his views on financial institutions on CNBC and the Wall Street Journal.

Bruce is a CFA® charterholder (Chartered Financial Analyst). He received his Bachelor’s Degree from American University and his Master’s Degree from the University of Pennsylvania.

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ASHTON POOLE

ASHTON POOLE

Reporting Analyst

 

Ashton is a Reporting Analyst in The Sargent Group at Rockefeller Capital Management.  Prior to joining Rockefeller in 2021, he pursued professional golf while completing his Graduate Degrees.   

Ashton graduated from the University of Virginia in 2019 with a Bachelor’s Degree in International Relations and was a four-year member of the Men’s Golf Team.  In addition, he also holds a Master’s Degree in Marketing, and a Master’s Degree in Finance from Georgia State University.   

When he is not in the office, Ashton enjoys playing golf, hunting, and flying as he is an instrument rated pilot.   

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TIMOTHY D. O’HARA

TIMOTHY D. O’HARA

President of the Family Office & Co-Head of the 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.

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JIMMY CHANG, CFA®

JIMMY CHANG, CFA®

Chief Investment Officer of Rockefeller Global Family Office, MD

 

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

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

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

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

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

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CHLOE DUANSHI

CHLOE DUANSHI

Head of Quantitative Research & Portfolio Construction, MD

 

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

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

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

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

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JOSEPH ROBERTS

JOSEPH ROBERTS

Head of Wealth Strategy, MD

 

Joseph Roberts is 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.

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JACKIE KLABER

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.

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JIM RATIGAN

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.

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