ROCKEFELLER CAPITAL MANAGEMENT L.P.

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Rockefeller Capital Management is based out of New York. Rockefeller Capital Management is a hedge fund with 908 clients and discretionary assets under management (AUM) of $16,659,664,306 (Form ADV from 2019-06-01). Their last reported 13F filing for Q1 2020 included $7,623,116,000 in managed 13F securities and a top 10 holdings concentration of 28.87%. Rockefeller Capital Management's largest holding is Microsoft Corp. with shares held of 2,262,597. Whalewisdom has at least 9 13F filings

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03/31/2020

13F Activity

  • Market Value $7.623 Billion
  • Prior Market Value $8.021 Billion
  • New Purchases482 stocks
  • Additional Purchases996 stocks
  • Sold out of146 stocks
  • Reduced holdings in532 stocks
  • Top 10 Holdings % 28.87 %
  • Turnover % [1]:25.81%
  • Turnover Alt % [2]: 29.88 %
  • Time Held Top20:3.95 quarters
  • Time Held Top10:4.20 quarters
  • Time Held All:3.70 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 21.73%
Performance Last 4 Quarters: -6.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
ROCKEFELLER CO. LLC
ROCKEFELLER FINANCIAL LLC
Rockefeller Trust Co (Delaware)
ROCKEFELLER TRUST COMPANY, N.A.

View Last Form Adv Compilation Report on Record

ROCKEFELLER CAPITAL MANAGEMENT
Classified as Hedge Fund
45 ROCKEFELLER PLAZA 5TH FLOOR
NEW YORK NY    10111
Country: United States

Business Phone: 212-549-5100
Fax: 212-549-5524
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 263
Other Business Activities: commodity pool operator or commodity trading advisor ,accountant or accounting firm
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 24,182,500,000
Total Number of Clients: 908
Amount of client funds and securities by related persons: 5,440,780,000
Total Number of clients from related persons: 2
Disclosures:
Data above was derived from SEC filings.

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ROCKEFELLER & CO. LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 281,895,200 100,000
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 37,300,683 500,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 2,730,194 100,000 Fund of Funds
ROCKEFELLER OCEAN FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 35,362,332 100,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 148,998,804 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 85,099,298 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 79,736,136 500,000
PANHE FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 23,197,329 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 16,900,331 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 49,291,998 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 231,658,477 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 85,884,391 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 165,831 250,000 Feeder Fund
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 7,360,190 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 134,119,344 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 3,391,073 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 12,998 0 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 85,933,242 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 68,540,239 1,000,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 23,418,411 100,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,029,425 250,000 Master Fund Fund of Funds
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 8,795,927 100,000 Fund of Funds
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 37,602,762 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 90,238,761 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 18,343,462 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 6,339,591 100,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 99,103,810 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 86,910,766 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 416,387,959 100,000 Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 5,368,307 250,000 Fund of Funds
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 73,101,286 100,000
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 1,270,101 100,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 121,020,154 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 743,846 250,000 Feeder Fund
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 53,856,336 500,000
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 0 250,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 89,579,130 1,000,000 Fund of Funds

ROCKEFELLER & CO. LLC

ownership team - last updated 2019-11-01
Name Title Start Date Direct/Indirect % Ownership
MCCARTHY, TIMOTHY, JOSEPH CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO., INC CHIEF COMPLIANCE OFFICER direct 2007-10-01
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
MORGAN STANLEY INVESTMENT ADVISORS INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW VENTURE PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW CAPITAL PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT, MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC PRESIDENT direct 2011-03-01
MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT LLC PRESIDENT direct 2011-03-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
CONSULTING GROUP ADVISORY SERVICES LLC PRESIDENT direct 2011-03-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-01-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
MORGAN STANLEY SMITH BARNEY LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
RFS OPCO LLC MEMBER 03/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
EISENBERG, JONATHAN GENERAL COUNSEL & SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS FINANCIAL SERVICES INC. GENERAL COUNSEL, MANAGING DIRECTOR direct 2010-07-01
Ryan, John, Francis CHIEF OPERATING OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC CHIEF OPERATING OFFICER direct 2019-01-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 30 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 24 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
HALVORSEN, OLE, ANDREAS LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
HALVORSEN, OLE, ANDREAS MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. GENERAL PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL PARTNER indirect 2017-10-01
DRAGSA 24 CAYMAN LTD. LIMTED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC GENERAL PARTNER indirect 1999-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 43,730,928 500,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 83,264,740 1,000,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 256,134,726 100,000
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 210,423 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 2,758,436 100,000 Fund of Funds
ROCKEFELLER OCEAN FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 32,615,275 100,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 126,476,411 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 73,821,958 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 66,912,443 500,000
PANHE FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 12,400,442 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 23,776,216 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 16,701,497 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 195,650,777 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 70,969,067 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 123,135 250,000 Feeder Fund
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 9,729,017 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 110,142,571 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 5,154,228 1,000,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 115,488,678 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 553,733 250,000 Feeder Fund
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 47,341,343 500,000
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 9,710 0 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 77,350,319 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 60,267,089 1,000,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 16,074,252 100,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 797,173 250,000 Master Fund Fund of Funds
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 10,390,749 100,000 Fund of Funds
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 40,296,775 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 98,433,585 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 24,317,646 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 8,493,855 100,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 88,645,769 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 77,535,013 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 391,363,619 100,000 Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 7,276,907 250,000 Fund of Funds
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 64,512,654 100,000
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 1,283,182 100,000 Fund of Funds

ROCKEFELLER & CO. LLC

ownership team - last updated 2019-08-08
Name Title Start Date Direct/Indirect % Ownership
MCCARTHY, TIMOTHY, JOSEPH CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO., INC CHIEF COMPLIANCE OFFICER direct 2007-10-01
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
MORGAN STANLEY INVESTMENT ADVISORS INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW VENTURE PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW CAPITAL PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT, MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC PRESIDENT direct 2011-03-01
MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT LLC PRESIDENT direct 2011-03-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
CONSULTING GROUP ADVISORY SERVICES LLC PRESIDENT direct 2011-03-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-01-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
MORGAN STANLEY SMITH BARNEY LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
RFS OPCO LLC MEMBER 03/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
EISENBERG, JONATHAN GENERAL COUNSEL & SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS FINANCIAL SERVICES INC. GENERAL COUNSEL, MANAGING DIRECTOR direct 2010-07-01
Ryan, John, Francis CHIEF OPERATING OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC CHIEF OPERATING OFFICER direct 2019-01-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 30 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 24 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
HALVORSEN, OLE, ANDREAS LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
HALVORSEN, OLE, ANDREAS MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. GENERAL PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL PARTNER indirect 2017-10-01
DRAGSA 24 CAYMAN LTD. LIMTED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC GENERAL PARTNER indirect 1999-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PANHE FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 12,400,442 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 23,776,216 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 16,701,497 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 195,650,777 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 70,969,067 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 123,135 250,000 Feeder Fund
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 9,729,017 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 110,142,571 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 60,267,089 1,000,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 16,074,252 100,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 797,173 250,000 Master Fund Fund of Funds
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 10,390,749 100,000 Fund of Funds
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 5,154,228 1,000,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 115,488,678 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 553,733 250,000 Feeder Fund
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 47,341,343 500,000
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 9,710 0 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 77,350,319 100,000
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 98,433,585 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 24,317,646 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 8,493,855 100,000 Fund of Funds
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 40,296,775 250,000 Fund of Funds
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 43,730,928 500,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 83,264,740 1,000,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 256,134,726 100,000
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 210,423 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 2,758,436 100,000 Fund of Funds
ROCKEFELLER OCEAN FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 32,615,275 100,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 126,476,411 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 73,821,958 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 66,912,443 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 88,645,769 500,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 391,363,619 100,000 Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 7,276,907 250,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 77,535,013 100,000
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 64,512,654 100,000
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 1,283,182 100,000 Fund of Funds

ROCKEFELLER & CO. LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MCCARTHY, TIMOTHY, JOSEPH CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO., INC CHIEF COMPLIANCE OFFICER direct 2007-10-01
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
MORGAN STANLEY INVESTMENT ADVISORS INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW VENTURE PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW CAPITAL PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT, MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC PRESIDENT direct 2011-03-01
MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT LLC PRESIDENT direct 2011-03-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
CONSULTING GROUP ADVISORY SERVICES LLC PRESIDENT direct 2011-03-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-01-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
MORGAN STANLEY SMITH BARNEY LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
RFS OPCO LLC MEMBER 03/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
EISENBERG, JONATHAN GENERAL COUNSEL & SECRETARY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS FINANCIAL SERVICES INC. GENERAL COUNSEL, MANAGING DIRECTOR direct 2010-07-01
Ryan, John, Francis CHIEF OPERATING OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC CHIEF OPERATING OFFICER direct 2019-01-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 30 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 24 CAYMAN LTD. 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP MEMBER OF VIKING JAPAN LLC (RELYING ADVISER) direct 2004-09-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER indirect 2006-06-01
VIKING GLOBAL INVESTORS LP DIRECTOR OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
VIKING GLOBAL INVESTORS LP SHAREHOLDER OF VIKING GLOBAL HONG KONG LIMITED (RELYING ADVISER) direct 2010-03-01
HALVORSEN, OLE, ANDREAS LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER LIMITED PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
HALVORSEN, OLE, ANDREAS MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP CHIEF EXECUTIVE OFFICER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
OTT, DAVID, CHRISTOPHER MEMBER VIKING GLOBAL PARTNERS LLC 04/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER, LIMITED PARTNER direct 1999-04-01
VIKING GLOBAL INVESTORS LP EXECUTIVE COMMITTEE MEMBER direct 1999-04-01
VIKING GLOBAL INVESTORS LP MEMBER indirect 1999-04-01
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. GENERAL PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL PARTNER indirect 2017-10-01
DRAGSA 24 CAYMAN LTD. LIMTED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER & CO. LLC GENERAL PARTNER indirect 1999-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PANHE FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 12,400,442 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 23,776,216 250,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 256,134,726 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 66,912,443 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 88,645,769 500,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 391,363,619 100,000 Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 7,276,907 250,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 77,535,013 100,000
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 64,512,654 100,000
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 1,283,182 100,000 Fund of Funds
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 210,423 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 2,758,436 100,000 Fund of Funds
ROCKEFELLER OCEAN FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 32,615,275 100,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 126,476,411 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 73,821,958 100,000
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 16,701,497 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 195,650,777 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 70,969,067 100,000
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 110,142,571 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 123,135 250,000 Feeder Fund
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 9,729,017 500,000 Fund of Funds
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 60,267,089 1,000,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 16,074,252 100,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 797,173 250,000 Master Fund Fund of Funds
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 10,390,749 100,000 Fund of Funds
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 5,154,228 1,000,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 115,488,678 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 553,733 250,000 Feeder Fund
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 47,341,343 500,000
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 9,710 0 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 77,350,319 100,000
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 98,433,585 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 24,317,646 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 8,493,855 100,000 Fund of Funds
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 40,296,775 250,000 Fund of Funds
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 43,730,928 500,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 83,264,740 1,000,000 Fund of Funds

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