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 1577 clients and discretionary assets under management (AUM) of $22,731,669,441 (Form ADV from 2022-11-14). Their last reported 13F filing for Q4 2022 included $19,897,664,000 in managed 13F securities and a top 10 holdings concentration of 17.64%. Rockefeller Capital Management's largest holding is Microsoft Corp. with shares held of 2,967,069. Whalewisdom has at least 20 13F filings

12/31/2022

13F Activity

  • Market Value $19.898 Billion
  • Prior Market Value $19.348 Billion
  • New Purchases205 stocks
  • Additional Purchases1409 stocks
  • Sold out of222 stocks
  • Reduced holdings in1598 stocks
  • Top 10 Holdings % 17.64 %
  • Turnover % [1]:10.09%
  • Turnover Alt % [2]: 9.33 %
  • Time Held Top20:7.90 quarters
  • Time Held Top10:8.20 quarters
  • Time Held All:9.50 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.

12/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-11-14

Performance for Q3 2022: 5.51%
Performance Last 4 Quarters: -10.44%
Performance Metrics
Stats are not available for the latest quarter
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*Shares are split adjusted

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

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
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 405
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: 32,439,100,000
Total Number of Clients: 1577
Amount of client funds and securities by related persons: 7,286,680,000
Total Number of clients from related persons: 2
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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ROCKEFELLER & CO. LLC

ownership team - last updated 2022-11-14
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 88,863,257 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 64,673,339 500,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 13,815,151 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 84,296,135 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 8,854,557 100,000 Fund of Funds
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,364,108 1,000,000 Fund of Funds
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 79,736,136 500,000
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 4,460,914 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 67,584,240 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 16,510 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 178,289 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 369,293,436 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 71,524,911 1,000,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 126,491,014 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 946,880 250,000 Feeder Fund
TITAN AG LP United States 805-9271760947 Private Equity Fund 25,002,275 250,000
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 0 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 71,081,030 100,000
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 690,765 100,000 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 44,365,333 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 112,712,949 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 238,352,626 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 211,598 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 87,563,884 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 2,983,455 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 122,904,670 100,000
TIGERGLOBAL ACCESS LP United States 805-8801011757 Other Private Fund FUND OF FUNDS 15,170,513 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 155,620,710 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 179,185,790 500,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,276,269 250,000 Master Fund Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 74,131,641 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 32,606,800 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 1,733,748 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 18,052,275 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 404,363,781 100,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 16,562,008 250,000
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 102,273,288 500,000 Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 12,929,236 250,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 218,393,987 100,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 80,643,584 100,000
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 22,835,150 250,000 Fund of Funds

ROCKEFELLER & CO. LLC

ownership team - last updated 2022-08-12
Name Title Start Date Direct/Indirect % Ownership

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 44,365,333 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 112,712,949 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 238,352,626 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 211,598 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 87,563,884 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 2,983,455 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 122,904,670 100,000
TIGERGLOBAL ACCESS LP United States 805-8801011757 Other Private Fund FUND OF FUNDS 15,170,513 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 155,620,710 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 179,185,790 500,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,276,269 250,000 Master Fund Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 1,733,748 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 18,052,275 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 404,363,781 100,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 16,562,008 250,000
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 102,273,288 500,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 74,131,641 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 32,606,800 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 12,929,236 250,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 218,393,987 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 84,296,135 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 8,854,557 100,000 Fund of Funds
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,364,108 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 16,510 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 178,289 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 369,293,436 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 71,524,911 1,000,000 Fund of Funds
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 126,491,014 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 946,880 250,000 Feeder Fund
TITAN AG LP United States 805-9271760947 Private Equity Fund 25,002,275 250,000
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 0 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 71,081,030 100,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 80,643,584 100,000
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 22,835,150 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 88,863,257 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 64,673,339 500,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 13,815,151 500,000 Fund of Funds
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 79,736,136 500,000
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 4,460,914 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 67,584,240 1,000,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 690,765 100,000 Fund of Funds

ROCKEFELLER & CO. LLC

ownership team - last updated 2022-06-13
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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 44,365,333 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 112,712,949 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 238,352,626 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 211,598 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 87,563,884 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 2,983,455 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 122,904,670 100,000
TIGERGLOBAL ACCESS LP United States 805-8801011757 Other Private Fund FUND OF FUNDS 15,170,513 100,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 74,131,641 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 32,606,800 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 12,929,236 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 102,273,288 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 218,393,987 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 84,296,135 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 8,854,557 100,000 Fund of Funds
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,364,108 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 16,510 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 178,289 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 369,293,436 100,000
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 126,491,014 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 946,880 250,000 Feeder Fund
TITAN AG LP United States 805-9271760947 Private Equity Fund 25,002,275 250,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 71,524,911 1,000,000 Fund of Funds
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 0 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 71,081,030 100,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 80,643,584 100,000
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 22,835,150 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 88,863,257 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 64,673,339 500,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 13,815,151 500,000 Fund of Funds
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 79,736,136 500,000
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 4,460,914 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 67,584,240 1,000,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 690,765 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 155,620,710 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 179,185,790 500,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,276,269 250,000 Master Fund Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 1,733,748 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 18,052,275 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 404,363,781 100,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 16,562,008 250,000

ROCKEFELLER & CO. LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TIGERGLOBAL ACCESS LP United States 805-8801011757 Other Private Fund FUND OF FUNDS 15,170,513 100,000 Fund of Funds
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 74,131,641 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 32,606,800 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 12,929,236 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 102,273,288 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 218,393,987 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 84,296,135 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 8,854,557 100,000 Fund of Funds
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 71,524,911 1,000,000 Fund of Funds
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 0 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 71,081,030 100,000
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 22,835,150 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 88,863,257 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 64,673,339 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 80,643,584 100,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 13,815,151 500,000 Fund of Funds
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 79,736,136 500,000
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 4,460,914 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 67,584,240 1,000,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 690,765 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 155,620,710 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 179,185,790 500,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,276,269 250,000 Master Fund Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 1,733,748 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 18,052,275 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 404,363,781 100,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 16,562,008 250,000
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 44,365,333 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 112,712,949 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 238,352,626 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 211,598 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 87,563,884 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 2,983,455 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 122,904,670 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,364,108 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 16,510 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 178,289 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 369,293,436 100,000
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 126,491,014 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 946,880 250,000 Feeder Fund
TITAN AG LP United States 805-9271760947 Private Equity Fund 25,002,275 250,000

ROCKEFELLER & CO. LLC

ownership team - last updated 2021-11-02
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 73,797,960 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 23,776,025 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 17,741,564 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 71,797,498 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 222,556,511 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 83,000,871 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 7,187,629 100,000 Fund of Funds
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 79,739,470 1,000,000 Fund of Funds
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 78,780,942 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 83,856,747 100,000
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 32,140,586 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 76,568,068 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 53,939,697 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 91,447,132 100,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 15,583,171 500,000 Fund of Funds
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 87,862,532 500,000
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 5,665,100 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 90,243,828 1,000,000 Fund of Funds
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 0 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 610,972 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 74,999,790 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 170,433,537 500,000
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,170,693 250,000 Master Fund Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 2,186,268 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 30,598,399 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 412,200,078 100,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 14,074,993 250,000
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 41,603,625 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 106,687,395 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 25,265,816 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 192,243 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 76,254,666 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 4,264,572 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 117,059,666 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,853,968 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 14,984 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 141,995 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 337,542,816 100,000
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 127,256,146 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 859,592 250,000 Feeder Fund

ROCKEFELLER & CO. LLC

ownership team - last updated 2021-04-22
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 32,140,586 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 76,568,068 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 53,939,697 500,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 15,583,171 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 5,665,100 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 90,243,828 1,000,000 Fund of Funds
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 0 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 610,972 100,000 Fund of Funds
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 74,999,790 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 170,433,537 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 91,447,132 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 87,862,532 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 23,776,025 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 17,741,564 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 71,797,498 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 222,556,511 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 83,000,871 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 7,187,629 100,000 Fund of Funds
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 79,739,470 1,000,000 Fund of Funds
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 78,780,942 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 73,797,960 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 83,856,747 100,000
GREER ANDERSON GLOBAL DIVERSIFIED IDF, A SEGREGATED SERIES OF GREER ANDERSON CAPITAL IDF LLC United States 805-9489450256 Other Private Fund FUND OF FUNDS 41,603,625 500,000 Fund of Funds
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 106,687,395 100,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 25,265,816 1,000,000 Master Fund
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 192,243 250,000 Feeder Fund
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 76,254,666 100,000
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 4,264,572 500,000 Fund of Funds
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 117,059,666 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,853,968 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 14,984 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 141,995 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 337,542,816 100,000
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 127,256,146 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 859,592 250,000 Feeder Fund
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 2,186,268 250,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 30,598,399 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 412,200,078 100,000 Fund of Funds
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,170,693 250,000 Master Fund Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 14,074,993 250,000

ROCKEFELLER & CO. LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
Fenrich, William, Joseph SECRETARY 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
MCCARTHY, TIMOTHY CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & 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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TITAN SPACE FUND LP United States 805-9896756007 Private Equity Fund 74,999,790 250,000
LIBRA FOSSIL FUEL FREE FUND, LP United States 805-5486035751 Other Private Fund LONG ONLY EQUITY 170,433,537 500,000
ROCKEFELLER GLOBAL EQUITY FUND I, LP United States 805-9909832620 Other Private Fund LONG ONLY EQUITY 91,447,132 100,000
LIBRA FUND QP, LP United States 805-2021031310 Other Private Fund LONG ONLY EQUITY 87,862,532 500,000
FO LEGACY FUND LP United States 805-9996848293 Other Private Fund LONG ONLY MULTI ASSET CLASS 23,776,025 5,000,000
ROCKEFELLER CLEANTECH VENTURES FUND II LLC United States 805-1139622128 Other Private Fund FUND OF FUNDS 17,741,564 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 2015, LLC United States 805-2850903420 Other Private Fund FUND OF FUNDS 71,797,498 500,000 Fund of Funds
ROCKEFELLER GLOBAL EQUITY FUND II QP, LP United States 805-9740106610 Other Private Fund INVESTMENT FUND 222,556,511 100,000
ROCKEFELLER GLOBAL EQUITY FUND II, LP United States 805-2407456485 Other Private Fund LONG ONLY EQUITY 83,000,871 100,000
ROCKEFELLER ACCESS FUND 06-II LLC United States 805-3358924100 Other Private Fund FUND OF FUNDS 7,187,629 100,000 Fund of Funds
ROCKEFELLER OPPORTUNISTIC CREDIT FUND, LLC United States 805-7038497462 Other Private Fund FUND OF FUNDS 32,140,586 250,000 Fund of Funds
ROCKEFELLER ACCESS FUND 06-I, LLC United States 805-8664410874 Other Private Fund FUND OF FUNDS 76,568,068 500,000 Fund of Funds
LIBRA FUND, LP United States 805-1058907132 Other Private Fund LONG ONLY EQUITY 53,939,697 500,000
ROCKEFELLER ACCESS FUND I, LLC United States 805-9108636163 Other Private Fund FUND OF FUNDS 15,583,171 500,000 Fund of Funds
ROCKEFELLER ACCESS FUND II, LLC United States 805-3239142278 Other Private Fund FUND OF FUNDS 5,665,100 100,000 Fund of Funds
GREER ANDERSON GLOBAL PARTNERS, L.P. United States 805-1360841928 Other Private Fund FUND OF FUNDS 90,243,828 1,000,000 Fund of Funds
ROCKEFELLER ALPHA SELECT, LLC United States 805-5766351398 Other Private Fund FUND OF FUNDS 0 250,000 Fund of Funds
VENROCK INVESTORS FUND LLC United States 805-8651822830 Other Private Fund FEEDER FUND 610,972 100,000 Fund of Funds
ROCKEFELLER CLIMATE SOLUTIONS FUND, L.P. United States 805-5074223939 Other Private Fund LONG ONLY EQUITY 78,780,942 100,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND QP, LP United States 805-5573842711 Other Private Fund LONG ONLY EQUITY 73,797,960 500,000
ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND United States 805-5747677923 Other Private Fund LONG ONLY EQUITY 83,856,747 100,000
GREER ANDERSON GLOBAL LONG, L.P. United States 805-7389968108 Other Private Fund FUND OF FUNDS 79,739,470 1,000,000 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 41,603,625 500,000 Fund of Funds
ROCKEFELLER U.S. EQUITY FUND II LP United States 805-8119420375 Other Private Fund LONG ONLY EQUITY 76,254,666 100,000
ROCKEFELLER INTERNATIONAL EQUITY FUND II LP United States 805-6268495307 Other Private Fund LONG ONLY EQUITY 117,059,666 100,000
2006 SPECIAL GLOBAL OPPORTUNITIES, LLC United States 805-3794507667 Other Private Fund FUND OF FUNDS 1,853,968 1,000,000 Fund of Funds
RASF SPV, LLC United States 805-4954357041 Other Private Fund FEEDER FUND 14,984 0 Fund of Funds
ROCKEFELLER VENTURE FUND III LLC United States 805-7787792798 Other Private Fund FEEDER FUND 141,995 100,000 Fund of Funds
ROCKEFELLER US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 337,542,816 100,000
5500 FUND, LP United States 805-9358828681 Other Private Fund LONG ONLY EQUITY 127,256,146 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP. L.P. United States 805-5079560957 Other Private Fund FEEDER FUND 859,592 250,000 Feeder Fund
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 106,687,395 100,000
ROCKEFELLER ALTERNATIVE STRATEGIES FUND, LP United States 805-3206646344 Other Private Fund FEEDER FUND 192,243 250,000 Feeder Fund
ROCKEFELLER SPECIAL GLOBAL OPPORTUNITIES DISTRESSED FUND LLC United States 805-1256874580 Other Private Fund FUND OF FUNDS 4,264,572 500,000 Fund of Funds
ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP United States 805-6438853271 Other Private Fund LONG ONLY EQUITY 30,598,399 100,000
ROCKEFELLER BALANCED FUND, LP United States 805-3793990842 Other Private Fund MULTI-ASSET CLASS 412,200,078 100,000 Fund of Funds
RASF MASTER LLC United States 805-6219225817 Other Private Fund FUND OF FUNDS 1,170,693 250,000 Master Fund Fund of Funds
ROCKEFELLER CLEANTECH VENTURES FUND, LLC United States 805-8090706730 Other Private Fund FUND OF FUNDS 2,186,268 250,000 Fund of Funds
TITAN BIRDS FUND LP United States 805-7575971421 Private Equity Fund 14,074,993 250,000
VANTAGEROCK CAPITAL MASTER FUND LP Cayman Islands 805-9904697687 Hedge Fund 25,265,816 1,000,000 Master Fund

ROCKEFELLER & CO. LLC

ownership team - last updated 2020-08-17
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
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
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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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 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 US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 281,895,200 100,000
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 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
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 85,933,242 100,000
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
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
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
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

ROCKEFELLER & CO. LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
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
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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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 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 US SMALL CAPITALIZATION FUND QP, L.P. United States 805-6182530922 Other Private Fund INVESTMENT FUND 281,895,200 100,000
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 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
ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND, L.P. United States 805-4310227763 Other Private Fund LONG ONLY EQUITY 85,933,242 100,000
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
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
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
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

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
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
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
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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
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
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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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
MORIARTY, EDMOND, N CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
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
MSREF II, INC. 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. 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
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
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
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
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
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
FLEMING, GREGORY, JAMES PRESIDENT & CHIEF EXECUTIVE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
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
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. 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 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
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
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
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
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
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
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
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
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
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 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
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
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
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
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
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
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
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
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

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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