# Profoundd archive — Epstein Files
# Bates number: EFTA01079277
# Title:        UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
# Dataset:      9
# Pages:        185
# Images:       185 detected
# Tags:         epstein, doj, dataset-9, image-described
# Source PDF:   https://profoundd.com/epstein-docs/EFTA01079277/download
# Doc viewer:   https://profoundd.com/epstein-docs/EFTA01079277
#
# Text below is what Profoundd has extracted from the source PDF.
# 'ocr-enriched' tag means OCR was applied to scan-only pages.
# Image descriptions are AI-generated factual captions (llava:13b).
#----------------------------------------------------------------------

=== SUMMARY ===
FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: ROCKEFELLER & CO., INC. CRD Number: Annual Amendment - All Sections Rev. 10/2012 3/30/2016 2:42:23 PM WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. I


=== EXTRACTED TEXT ===
FORM ADV 
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS 
Primary Business Name: ROCKEFELLER & CO., INC. CRD Number: 
Annual Amendment - All Sections Rev. 10/2012 
3/30/2016 2:42:23 PM 
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal 
prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. 
Item 1 Identifying Information 
Responses to this Item tell us who you are. where you are doing business. and how we can contact you. 
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names): 
ROCKEFELLER & CO., INC 
B. Name under which you primarily conduct your advisory business, if different from Item 1.A.: 
ROCKEFELLER & CO., INC. 
List on Section 1.B. of Schedule 0 any additional names under which you conduct your advisory business. 
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.), enter the new name and specify whether the 
name change is of 
r your legal name or r your primary business name: 
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-15106 
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number: 
E. If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system. your CRD number: 106264 
If your firm does not have a CRD number. skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates. 
F. Principal Office and Place of Business 
(1) Address (do not use a P.O. Box): 
Number and Street 1: Number and Street 2: 
10 ROCKEFELLER PLAZA 
City: State: Country: 
NEW YORK New York United States 
If this address is a private residence, check this box: r ZIN-4/Postal Code: 
10020 
List on Section 1.F. of Schedule 0 any office, other than your principal office and place of business, at which you conduct investment advisory business. If 
you are applying for registration. or are registered. with one or more state securities authorities, you must list all of your offices in the state or states to 
which you are applying for registration or with whom you are registered. If you are applying for SEC registration. if you are registered only with the SEC, or 
if you are reporting to the SEC as an exempt reporting adviser, list the largest five offices in terms of numbers of employees. 
(2) Days of week that you normally conduct business at your principal office and place of business: 
' Monday - Friday r Other: 
Normal business hours at this location: 
9:00 A.M. - 5:00 P.M. 
(3) Telephone number at this location: 
212-549-5100 
(4) Facsimile number at this location: 
212-549-5524 
G. Mailing address, if different from your principal office and place of business address: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIN-4/Postal Code: 
If this address is a private residence, check this box: r 
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIN-4/Postal Code: 
I. Do you have one or more websites? Yes No 
r 
EFTA01079277
If 'yes." list all website addresses on Section 1.1. of Schedule D. If a website address serves as a portal through which to access other information you have 
published on the web, you may list the portal without listing addresses for all of the other information. Some advisers may need to list more than one portal 
address. Do not provide individual electronic mail (e-mail) addresses in response to this Item. 
J. Provide the name and contact information of your Chief Compliance Officer: If you are an exempt reporting adviser, you must provide the contact 
information for your Chief Compliance Officer, if you have one. If not, you must complete Item 1.K. below. 
Name: Other titles, if any: 
Telephone number: Facsimile number: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP4-4/Postal Code: 
Electronic mail (e-mail) address, if Chief Compliance Officer has one: 
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions 
about this Form ADV, you may provide that information here. 
Name: 
Telephone number: 
Number and Street 1: 
City: State: 
Electronic mail (e-mail) address, if contact person has one: Titles: 
Facsimile number: 
Number and Street 2: 
Country: ZIN-4/Postal Code: 
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, 
somewhere other than your principal office and place of business? 
If "yes," complete Section 1.L. of Schedule D. 
M. Are you registered with a foreign financial regulatory authority? 
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial 
regulatory authority. If "yes," complete Section 1.M. of Schedule D. 
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? 
If "yes," provide your CIK number (Central Index Key number that the SEC assigns to each public reporting company): 
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year? 
P. Provide your Legal Entity Identifier if you have one: Yes No 
r 
Yes No 
r 
Yes No 
r 
Yes No 
r 
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. In the first half of 2011, the legal entity 
identifier standard was still in development. You may not have a legal entity identifier. 
SECTION 1.B. Other Business Names 
No Information Filed 
SECTION 1.F. Other Offices 
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. 
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC. or 
if you are an exempt reporting adviser, list only the largest five offices (in terms of numbers of employees). 
IMMEASS Street 2: 
,itv• State- Country. 7113+4/Postal Code:
If this address is a private residence, check this box: r 
EFTA01079278
Telephone Number: Facsimile Number: 
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. 
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC. or 
if you are an exempt reporting adviser, list only the largest five offices (in terms of numbers of employees). 
Number and Street 1: Number and Street 2: 
If this address is a private residence, check this box: r 
Telephone Number:  Facsimile Number: 
SECTION 1.1. Website Addresses 
List your website addresses. You must complete a separate Schedule D Section 1.1. for each website address. 
Website Address: 
Website Address: 
Website Address: 
SECTION 1.L. Location of Books and Records 
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You 
must complete a separate Schedule D Section 1.L. for each location. 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
r one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
r other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
EFTA01079279
Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number:  Facsimile number: 
This is (check one): 
c one of your branch offices or affiliates. 
0: a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
itt a third-party unaffiliated recordkeeper. 
✓ other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
Number and Street 1: 
City: State: Number and Street 2: 
Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
617-375-3300 617-375-3333 
This is (check one): 
a one of your branch offices or affiliates. 
✓ a third-party unaffiliated recordkeeper. 
✓ other. 
EFTA01079280
Briefly describe the books and records kept at this location: 
CLIENT FILES 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
r one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
Name of entity where books and records are kept: 
Number and Street 1: 
City: State: Number and Street 2: 
Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
TI hnNm r: F imilnm r: 
This is (check one): 
r one of your branch offices or affiliates. 
G a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
'ere  and records are kept: 
Number and Street 1: 
City: State: 
If this address is a private residence, check this box: r Number and Street 2: 
Country: ZIP+4/Postal Code: 
Telephone Number 
This is (check one): 
r• one of your branch offices or affiliates. Facsimile number: 
EFTA01079281
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
N me of nit where books and records are kept: 
Kis 41 I at,/ a.rIA c..,,,,• I - "'mfr.'''. ant. eftlet 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
✓ other. 
Briefly describe the books  and records kept at this location: 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
C a third-party unaffiliated recordkeeper. 
G other. 
Briefly describe the books and records kept at this location: 
Name of entity where books and records are kept: Country: ZIP+4/Postal  Code: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box: r 
EFTA01079282
Telephone Number:  Facsimile number: 
This is (check one): 
r one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
here books and records are kept: 
Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telenhnne Number:  Facsimile number: 
This is (check one): 
r one of your branch offices or affiliates. 
6, a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
treet 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
a one of your branch offices or affiliates. 
C a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
Name of entit where books and records are kept: 
EFTA01079283
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal  Code: 
If this address is a private residence, check this box: r 
Teleohone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
6: a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal  Code: 
If this address is a private residence, check this box: r 
Telephone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
EFTA01079284
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP+4/Postal  Code: 
If this address is a private residence, check this box: r 
Tele hone Number: Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
or, a third-party unaffiliated recordkeeper. 
✓ other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
Number and Street 1:  Number and Street 2: 
City: State: Country: ZIP+4/Postal Code: 
If this address is a private residence, check this box: r 
Telephone Number:  Facsimile number: 
This is (check one): 
c one of your branch offices or affiliates. 
a a third-party unaffiliated recordkeeper. 
C other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
Name of entity where books and records are kept: 
Number and Street 1: Number and Street 2: 
- ostal Code: 
If this address is a private residence, check this box: r 
Telephone Number:  Facsimile number: 
This is (check one): 
✓ one of your branch offices or affiliates. 
EFTA01079285
a a third-party unaffiliated recordkeeper. 
r other. 
Briefly describe the books and records kept at this location: 
ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS 
AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. 
SECTION 1.M. Registration with Foreign Financial Regulatory Authorities 
No Information Filed 
Item 2 SEC Registration/Reporting 
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for 
SEC registration or submitting an annual updating amendment to your SEC registration. 
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an 
annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1 A Instruction 2 
provides information to help you determine whether you may affirmatively respond to each of these items. 
You (the adviser): 
F7 (1) are a large advisory firm that either: 
(a) has regulatory assets under management of $100 million (in U.S. dollars) or more, or 
(b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating 
amendment and is registered with the SEC; 
✓ (2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million 
(in U.S. dollars) and you are either: 
(a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place 
of business, or 
(b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business; 
Click HERE for a list of states in which an investment adviser, if registered. would not be subject to examination by the state securities 
authority. 
(3) have your principal office and place of business in Wyoming (which does not regulate advisers); 
(4) have your principal office and place of business outside the United States; r 
r 
r (5) are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940; 
(6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the 
Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under 
management; 
✓ (7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption 
in rule 203A-2(a); 
✓ (8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with. an investment adviser that is 
registered with the SEC, and your principal office and place of business is the same as the registered adviser; 
If you check this box, complete Section 2.A. (8) of Schedule D. 
✓ (9) are a newly formed adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days; 
if you check this box, complete Section 2.A. (9) of Schedule D. 
✓ (1 0) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d); 
If you check this box, complete Section 2.A. (10) of Schedule D. 
✓ (11) are an Internet adviser relying on rule 203A-2(e); 
✓ (12) have received an SEC order exempting you from the prohibition against registration with the SEC; 
If you check this box, complete Section 2.A. (12) of Schedule D. 
✓ (13) are no longer eligible to remain registered with the SEC. 
State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers 
C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they 
file with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy 
of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would like 
to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to 
additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to 
EFTA01079286
the SEC. If this is an amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them. uncheck the 
box(es) next to those state(s). 
Jurisdictions 
✓ AL 
✓ AK 
✓ Az 
✓ AR 
r; C• A 
r; c• o 
r; C• T 
r; D• E 
r; D• C 
r; F• L 
✓ GA
O GU 
O HI • ID 
• IL 
• IN 
• IA 
r KS 
Fr LK:r MEA 
MD 
ri MA 
MI 
rrr MN ✓ MO 
r NTT
✓ NE 
✓ NV 
✓ NH 
• Nj 
• NM 
rf' NY 
✓ NC 
✓ ND 
rr, OH 
✓ OK 
✓ OR • PA 
PR 
• RI 
• sc 
• SD 
• TN 
• TX 
• UT 
VT 
• vi 
• VA 
• WA 
• wv 
• WI 
If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that 
state's notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31). 
SECTION 2.A.(8) Related Adviser 
If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control 
with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser, provide 
the following information: 
Name of Registered Investment Adviser 
CRD Number of Registered Investment Adviser 
SEC Number of Registered Investment Adviser 
801 - 
SECTION 2.A.(9) Newly Formed Adviser 
If you are relying on rule 203A-2(c), the newly formed adviser exemption from the prohibition on registration, you are required to make certain 
representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required 
representations. You must make both of these representations: 
O I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to 
register with the SEC within 120 days after the date my registration with the SEC becomes effective. 
O I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section 
203A(a) of the Advisers Act from registering with the SEC. 
SECTION 2.A.(10) Multi-State Adviser 
If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations 
about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations. 
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations: 
O I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an 
investment adviser with the state securities authorities in those states. 
✓ I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15 
states to register as an investment adviser with the state securities authorities of those states. 
If you are submitting your annual updating amendment, you must make this representation: 
✓ Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required 
by the laws of at least 15 states to register as an investment adviser with the state securities authorities in those states. 
SECTION 2.A.(12) SEC Exemptive Order 
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information: 
EFTA01079287
Application Number: 
803-
Date of order. 
Item 3 Form of Organization 
A. How are you organized? 
a Corporation 
✓ Sole Proprietorship 
✓ Limited Liability Partnership (LLP) 
✓ Partnership 
✓ Limited Liability Company (LLC) 
✓ Limited Partnership (LP) 
✓ Other (specify): 
If you are changing your response to this Item. see Part IA Instruction 4. 
B. In what month does your fiscal year end each year? 
DECEMBER 
C. Under the laws of what state or country are you organized? 
State Country 
Delaware United States 
If you are a partnership. provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor. provide the 
name of the state or country where you reside. 
If you are changing your response to this Item. see Part IA Instruction 4. 
Item 4 Successions 
Yes No 
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser? 
If "yes". complete Item 4.8. and Section 4 of Schedule D. 
B. Date of Succession: (MM/DD/YYYY) 
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part IA Instruction 4. 
SECTION 4 Successions 
No Information Filed 
Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation 
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making 
regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5. 
Employees 
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item S.A. and Items 5.B.(1). (2), (3), (4). and (5). If an employee 
performs more than one function, you should count that employee in each of your responses to Items 5.8. (1), (2), (3), (4). and (5). 
A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers. 
154 
B. (1) Approximately how many of the employees reported in S.A. perform investment advisory functions (including research)? 
69 
EFTA01079288
(2) Approximately how many of the employees reported in S.A. are registered representatives of a broker-dealer? 
0 
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser 
representatives? 
1 
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser 
representatives for an investment adviser other than you? 
0 
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency? 
0 
(6) Approximately how many firms or other persons solicit advisory clients on your behalf? 
0 
In your response to Item 5.8.(6), do not count any of your employees and count a firm only once - do not count each of the firm's employees that solicit on 
your behalf. 
Clients 
In your responses to Items S.C. and 5.0. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship 
with those investors. 
C. (1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year? 
' 0 r 1-10 r 11-25 
r 26-100 a More than 100 
If more than 100, how many? 
(round to the nearest 100) 
700 
(2) Approximately what percentage of your clients are non-United States persons? 
2% 
D. For purposes of this Item S.D.. the category "individuals" includes trusts, estates. and 401(k) plans and IRAs of individuals and their family members, but does 
not include businesses organized as sole proprietorships. The category "business development companies" consists of companies that have made an election 
pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an 
investment company registered under the Investment Company Act of 1940. check 'None" in response to Item 5.0.(1)(d) and do not check any of the boxes in 
response to Item 5.0.(2)(d). 
(1) What types of clients do you have? Indicate the approximate percentage that each type of client comprises of your total number of clients. If a 
client fits into more than one category, check all that apply. 
None Up to 10% 11-25% 26-50% 51-75% 76-99% 100% 
(a) Individuals (other than high net worth individuals) r r a r r r r 
(b) High net worth individuals r r r r C•' r r 
(c) Banking or thrift institutions r a r r r r r 
(d) Investment companies r C•' r r r r r 
(e) Business development companies a r r r r r r 
(f) Pooled investment vehicles (other than investment companies) r a r r r r r 
(g) Pension and profit sharing plans (but not the plan participants) r a r r r r r 
(h) Charitable organizations r C•' r r r r r 
(i) Corporations or other businesses not listed above r a r r r r r 
(j) State or municipal government entities r C•' r r r r r 
(k) Other investment advisers a r r r r r r 
(I) Insurance companies a r r r r r r 
(m) Other: SOVEREIGN NATION r a r r r r r 
(2) Indicate the approximate amount of your regulatory assets under management (reported in Item S.F. below) attributable to each of the following 
type of client. If a client fits into more than one category. check all that apply. 
None Up to 25% Up to 50% Up to 75% >75% 
(a) Individuals (other than high net worth individuals) r C•' r r r 
(b) High net worth individuals r a r r r 
(c) Banking or thrift institutions r a r r r 
(d) Investment companies r a r r r 
EFTA01079289
(e) Business development companies 6 r r r r 
(f) Pooled investment vehicles (other than investment companies) r r a r r 
(g) Pension and profit sharing plans (but not the plan participants) r 6 r r r 
(h) Charitable organizations r a r r r 
(i) Corporations or other businesses not listed above r C• r r r 
(j) State or municipal government entities r C• r r r 
(k) Other investment advisers C• r r r r 
(I) Insurance companies C• r r r r 
(m) Other: SOVEREIGN NATION r C• r r r 
Compensation Arrangements 
E. You are compensated for your investment advisory services by (check all that apply): 
r 
r 
r (1) A percentage of assets under your management 
(2) Hourly charges 
(3) Subscription fees (for a newsletter or periodical) 
(4) Fixed fees (other than subscription fees) 
(5) Commissions 
(6) Performance -based fees 
(7) Other (specify): 
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management 
Regulatory Assets Under Management 
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios? 
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts? 
U.S. Dollar Amount Total Number of Accounts 
Discretionary: (a) $ 10,271,278,276 (d) 2,590 
Non-Discretionary: (b) $ 167,922,019 (e) 141 
Total: (c) $ 10,439,200,295 (f) 2,731 
Part lA Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when 
completing this Item. Yes No 
r 
Item 5 Information About Your Advisory Business - Advisory Activities 
Advisory Activities 
G. What type(s) of advisory services do you provide? Check all that apply. 
▪ (1) Financial planning services 
▪ (2) Portfolio management for individuals and/or small businesses 
▪ (3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to 
section 54 of the Investment Company Act of 1940) 
▪ (4) Portfolio management for pooled investment vehicles (other than investment companies) 
▪ (5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and 
other pooled investment vehicles) 
(6) Pension consulting services 
(7) Selection of other advisers (including private fund managers) 
(8) Publication of periodicals or newsletters 
(9) Security ratings or pricing services 
(10) Market timing services 
(11) Educational seminars/workshops 
(12) Other(specify): INVESTMENT CONSULTING, TAX. ACCOUNTING AND INFORMATION MANAGEMENT SERVICES 11 -1 -1 -1 -1 11 -1 
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the 
Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or 
investment companies to which you provide advice in Section 5.G.(3) of Schedule D. 
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year? 
• 0 
• 1 - 10 
• 11 - 25 
• 26 - 50 
• 51 - 100 
• 101 - 250 
• 251 - 500 
EFTA01079290
r More than 500 
If more than 500. how many? 
(round to the nearest 500) 
In your responses to this Item S.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship 
with those investors. 
I. If you participate in a wrap fee program, do you (check all that apply): 
✓ (1) sponsor the wrap fee program? 
✓ (2) act as a portfolio manager for the wrap fee program? 
If you are a portfolio manager for a wrap fee program, list the names of the programs and their sponsors in Section 5.I.(2) of Schedule D. 
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a 
wrap fee program, do not check either Item 5.1(1) or 5.I.(2). 
Yes No 
J. In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of 
investments? r 
SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies 
If you check Item 5.G.(3), what is the SEC file number (811 or 814 number) of each of the registered investment companies and business development 
companies to which you act as an adviser pursuant to an advisory contract? You must complete a separate Schedule D Section 5.G.(3) for each registered 
investment company and business development company to which you act as an adviser. 
SEC File Number 811-03651 
SEC File Number 811-04556 
SEC File Number 81 1-1 0401 
SECTION 5.I.(2) Wrap Fee Programs 
No Information Filed 
Item 6 Other Business Activities 
In this Item, we request information about your firm's other business activities. 
A. You are actively engaged in business as a (check all that apply): 
✓ (1) broker-dealer (registered or unregistered) 
✓ (2) registered representative of a broker-dealer 
1.7 (3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration) 
✓ (4) futures commission merchant 
✓ (5) real estate broker, dealer, or agent 
✓ (6) insurance broker or agent 
✓ (7) bank (including a separately identifiable department or division of a bank) 
✓ (8) trust company 
✓ (9) registered municipal advisor 
✓ (10) registered security-based swap dealer 
✓ (11) major security-based swap participant 
P. (12) accountant or accounting firm 
✓ (13) lawyer or law firm 
✓ (14) other financial product salesperson (specify): 
If you engage in other business using a name that is different from the names reported in Items 1.A. or 1. B. complete Section 6.A. of Schedule D. 
B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)? 
(2) If yes. is this other business your primary business? Yes No 
r 
r 
If 'yes." describe this other business on Section es. (2) of Schedule 0, and if you engage in this business under a different name. provide that name. 
Yes No 
EFTA01079291
(3) Do you sell products or provide services other than investment advice to your advisory clients? 
If 'yes." describe this other business on Section 6.11(3) of Schedule 0, and if you engage in this business under a different name. provide that name. r 
SECTION 6.A. Names of Your Other Businesses 
No Information Filed 
SECTION 6.B.(2) Description of Primary Business 
Describe your primary business (not your investment advisory business): 
If you engage in that business under a different name, provide that name: 
SECTION 6.B.(3) Description of Other Products and Services 
Describe other products or services you sell to your client, You may omit products and services that you listed in Section 6.B.(2) above. 
WE ALSO PROVIDE GENERAL FINANCIAL ADVICE AND OTHER SERVICES NOT SPECIFICALLY RELATED TO SECURITIES. PLEASE REFER TO THE DESCRIPTION OF 
SERVICES OFFERED IN ITEM 4. ADVISORY BUSINESS OF OUR FORM ADV PART 2A. 
If you engage in that business under a different name, provide that name. 
Item 7 Financial Industry Affiliations 
In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may 
occur between you and your clients. 
A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your 
advisory affiliates and any person that is under common control with you. 
You have a related person that is a (check all that apply): 
✓ (1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered) 
✓ (2) other investment adviser (including financial planners) 
✓ (3) registered municipal advisor 
✓ (4) registered security-based swap dealer 
✓ (5) major security-based swap participant 
1.7 (6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration) 
✓ (7) futures commission merchant 
✓ (8) banking or thrift institution 
1.7 (9) trust company 
1.7 (10) accountant or accounting firm 
✓ (11) lawyer or law firm 
✓ (12) insurance company or agency 
✓ (13) pension consultant 
✓ (14) real estate broker or dealer 
✓ (15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles 
1.7 (16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles 
For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of 
Schedule D. 
You do not need to complete Section 7.A. of Schedule 0 for any related person if: (1) you have no business dealings with the related person in connection with 
advisory services you provide to your clients; (2) you do not conduct shared operations with the related person; (3) you do not refer clients or business to the 
related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised persons or premises with the 
related person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients. 
You must complete Section 7.A. of Schedule 0 for each related person acting as qualified custodian in connection with advisory services you provide to your 
clients (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)). regardless of whether you have determined the related person to be 
operationally independent under rule 206(4)-2 of the Advisers Act. 
SECTION 7.A. Financial Industry Affiliations 
Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A. 
1. Legal Name of Related Person: 
ROCKEFELLER TRUST COMPANY. N.A. 
2. Primary Business Name of Related Person: 
ROCKEFELLER TRUST COMPANY, N.A. 
EFTA01079292
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) 
or 
Other 
4. Related Person's CRD Number (if any): 
5. Related Person is: (check all that apply) 
(a) r broker-dealer, municipal securities dealer, or government securities broker or dealer 
(b) r o• ther investment adviser (including financial planners) 
(c) r- r• egistered municipal advisor 
(d) r- r• egistered security-based swap dealer 
(e) r- m• ajor security-based swap participant 
(f) r- c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) 
(g) r futures commission merchant 
(h) r b• anking or thrift institution 
(i) 2" trust company 
(j) r- accountant or accounting firm 
(k) r- lawyer or law firm 
(I) 1- insurance company or agency 
(m) r p• ension consultant 
(n) r- r• eal estate broker or dealer 
(o) r- s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles 
(p) r- s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 
6. Do you control or are you controlled by the related person? 
7. Are you and the related person under common control? Yes No 
• r 
(;* r 
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? (;* r 
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the r (;* 
presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not 
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? 
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: 
Number and Street 1: Number and Street 2: 
10 ROCKEFELLER PLAZA 
City: State: Country: ZIN-4/Postal Code: 
NEW YORK New York United States 10020 
If this address is a private residence, check this box: r 
9. (a) If the related person is an investment adviser, is it exempt from registration? 
(b) If the answer is yes, under what exemption? 
10. (a) Is the related person registered with a foreign financial regulatory authority? Yes No 
✓ r 
r 
(b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. 
No Information Filed 
11. Do you and the related person share any supervised persons? 
12. Do you and the related person share the same physical location? • r 
• r 
1. Legal Name of Related Person: 
THE ROCKEFELLER TRUST COMPANY (DELAWARE) 
2. Primary Business Name of Related Person: 
THE ROCKEFELLER TRUST COMPANY (DELAWARE) 
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-, 802-) 
or 
Other 
EFTA01079293
4. Related Person's CAD Number (if any): 
5. Related Person is: (check all that apply) 
(a) r broker-dealer, municipal securities dealer, or government securities broker or dealer 
(b) r o• ther investment adviser (including financial planners) 
(c) r r• egistered municipal advisor 
(d) r- r• egistered security-based swap dealer 
(e) r- m• ajor security-based swap participant 
(f) r- c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) 
(g) r futures commission merchant 
(h) r b• anking or thrift institution 
(i) 17 trust company 
(j) r- accountant or accounting firm 
(k) r- lawyer or law firm 
(I) r insurance company or agency 
(m) r p• ension consultant 
(n) r- r• eal estate broker or dealer 
(o) r- s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles 
(p) r- s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 
6. Do you control or are you controlled by the related person? 
7. Are you and the related person under common control? Yes No 
• r 
• r 
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r 
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the 
presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not 
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? 
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP4-4/Postal Code: 
If this address is a private residence, check this box: r 
9. (a) If the related person is an investment adviser, is it exempt from registration? 
(b) If the answer is yes, under what exemption? Yes No 
✓ r 
10. (a) Is the related person registered with a foreign financial regulatory authority? r 
(b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. 
No Information Filed 
11. Do you and the related person share any supervised persons? 
12. Do you and the related person share the same physical location? • r 
r 
P 
1. Legal Name of Related Person: 
ROCKEFELLER FUND MANAGERS. LLC 
2. Primary Business Name of Related Person: 
ROCKEFELLER FUND MANAGERS. LLC 
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) 
or 
Other 
4. Related Person's CRD Number (if any): 
5. Related Person is: (check all that apply) 
(a) r- b• roker-dealer, municipal securities dealer, or government securities broker or dealer 
(b) r o• ther investment adviser (including financial planners) 
(c) r r• egistered municipal advisor 
(d) r- r• egistered security-based swap dealer 
(e) r- m• ajor security-based swap participant 
(f) 2" c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) 
EFTA01079294
(g) r futures commission merchant 
(h) r b• anking or thrift institution 
(i) r trust company 
(j) r accountant or accounting firm 
(k) r lawyer or law firm 
(I) r insurance company or agency 
(m) r p• ension consultant 
(n) r r• eal estate broker or dealer 
(o) r s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles 
(p) 17 s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 
6. Do you control or are you controlled by the related person? 
7. Are you and the related person under common control? Yes No 
• r 
• r 
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r 
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the 
presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not 
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? 
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: 
Number and Street 1: Number and Street 2: 
City: State: Country: ZIP4-4/Postal Code: 
If this address is a private residence, check this box: r 
9. (a) If the related person is an investment adviser, is it exempt from registration? 
(b) If the answer is yes, under what exemption? 
10. (a) Is the related person registered with a foreign financial regulatory authority? Yes No 
✓ r 
r 
(b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. 
No Information Filed 
11. Do you and the related person share any supervised persons? 
12. Do you and the related person share the same physical location? 
L • r 
r 
P 1. Legal Name of Related Person: 
ROCKEFELLER PARTNERSHIP SERVICES, INC. 
2. Primary Business Name of Related Person: 
ROCKEFELLER PARTNERSHIP SERVICES, INC. 
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) 
or 
Other 
4. Related Person's CRD Number (if any): 
5. Related Person is: (check all that apply) 
(a) r 
(b) r 
(c) r 
(d) r 
(e) r 
(0 P.
(9) r 
(h) r 
(i) r 
o) r 
(k) r 
(0 r 
(m) r 
(n) r 
(o) r 
(p) 1.7broker-dealer, municipal securities dealer, or government securities broker or dealer 
other investment adviser (including financial planners) 
registered municipal advisor 
registered security-based swap dealer 
major security-based swap participant 
commodity pool operator or commodity trading advi



=== IMAGE DESCRIPTIONS ===
[Image 1] The image shows a document with text, which appears to be a form or a questionnaire. The text is too small to read clearly, but it seems to be a list of questions or statements with checkboxes next to them. The document is structured with numbered sections, and there are visible checkboxes indicating options for the reader to select. The content of the document is not legible due to the resolution

[Image 2] The image shows a document with a series of questions, each followed by a list of answer options. The questions appear to be related to medical or health-related topics, as indicated by the context of the questions. The document is structured with numbered questions and corresponding answer choices. The text is in English, and the document is presented in a digital format, possibly a screenshot or

[Image 3] The image shows a document with text, which appears to be a form or questionnaire. The text is too small to read in detail, but it seems to be structured with headings and bullet points. There are no visible names, dates, places, or logos that can be discerned from this image. The document is presented in a digital format, likely a screenshot or a digital copy of a physical document.

[Image 4] The image shows a document with a heading that reads "APPLICATION FOR A PERMIT TO CONSTRUCT A BUILDING IN A PROTECTED AREA." Below the heading, there are several numbered points that appear to be instructions or requirements for the application process. The document is structured with bullet points, and there are checkboxes next to each point, indicating that certain actions or information must be

[Image 5] The image appears to be a photograph of a printed document, possibly a form or a report. The document contains text and tables with numerical data. There are sections with headings such as "Title," "Date," "Time," "Name," "Address," and "Signature." The visible text includes names, dates, and numerical data, but the specific content of the text is not clear due to the resolution and angle of the p

[Image 6] The image shows a document with a table and text. The table has columns with headings such as "Question," "Answer," and "Score." There are rows with questions and corresponding answers, and the scores are filled in next to each answer. The text at the bottom of the document appears to be a description or instructions related to the content of the table. The document is a scanned copy, and the text