ROCKEFELLER FINANCIAL SERVICES INC

https://rcm.rockco.com/alexander/ • NEW YORK, NY • Investment Advisor How do I update this listing?

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Rockefeller Financial Services is based out of New York. Rockefeller Financial Services is a large advisory firm with 16757 clients and discretionary assets under management (AUM) of $27,521,513,404 (Form ADV from 2022-03-31). Whalewisdom has at least 74 13F filings

03/31/2022

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03/31/2022

13F Sector Allocation Over Time

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ROCKEFELLER CAPITAL MANAGEMENT
45 ROCKEFELLER PLAZA FLOOR 5
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: 423
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Commissions
Amount of client funds and securities: 28,680,500,000
Total Number of Clients: 16757
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC ("OPCO") MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
DUPUY, CHRISTOPHER TREVOR PRESIDENT & CEO 11/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
MANAGED ACCOUNT ADVISORS LLC DIRECTOR direct 2009-11-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
ERIGO, JOSEPH CCO 03/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER direct 2006-01-01
BARCLAYS CAPITAL INC. CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER direct 2013-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. ("RCM") MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. ("RCMGP") 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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2021-11-05
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC ("OPCO") MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
DUPUY, CHRISTOPHER TREVOR PRESIDENT & CEO 11/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
MANAGED ACCOUNT ADVISORS LLC DIRECTOR direct 2009-11-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
BRAGOLI, ROBERT CCO 09/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC CCO direct 2021-09-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2021-09-24
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
SOLOMON, MICHAEL DEAN GENERAL COUNSEL & CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL COUNSEL & CCO direct 2019-07-01
RANDAZZO, CHRISTOPHER CEO & PRESIDENT 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH TRUST COMPANY, FSB CHIEF TECHNOLOGY OFFICER direct 2006-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2021-04-28
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
SOLOMON, MICHAEL DEAN GENERAL COUNSEL & CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL COUNSEL & CCO direct 2019-07-01
RANDAZZO, CHRISTOPHER CEO & PRESIDENT 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH TRUST COMPANY, FSB CHIEF TECHNOLOGY OFFICER direct 2006-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
SOLOMON, MICHAEL DEAN GENERAL COUNSEL & CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL COUNSEL & CCO direct 2019-07-01
RANDAZZO, CHRISTOPHER CEO & PRESIDENT 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH TRUST COMPANY, FSB CHIEF TECHNOLOGY OFFICER direct 2006-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
WARSHAW, BRIAN JOHN PRINCIPAL OPERATIONS OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER direct 2019-05-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
SOLOMON, MICHAEL DEAN GENERAL COUNSEL & CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL COUNSEL & CCO direct 2019-07-01
RANDAZZO, CHRISTOPHER CEO & PRESIDENT 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH TRUST COMPANY, FSB CHIEF TECHNOLOGY OFFICER direct 2006-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2019-09-25
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
DORIA, CHRISTOPHER VITO PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC PRINCIPAL OPERATIONS OFFICER direct 2019-09-01
ZIMMEL, ROBERT PATRICK PRINCIPAL FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ACP INVESTMENT GROUP, LLC TREASURER direct 2010-01-01
SOLOMON, MICHAEL DEAN GENERAL COUNSEL & CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL COUNSEL & CCO direct 2019-07-01
RANDAZZO, CHRISTOPHER CEO & PRESIDENT 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH TRUST COMPANY, FSB CHIEF TECHNOLOGY OFFICER direct 2006-08-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 1999-04-01
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. GENERAL PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL PARTNER indirect 2017-10-01
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
DRAGSA 24 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
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
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
MORIARTY, EDMOND N CEO AND PRESIDENT 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
CHIRDO, JAMES MICHAEL SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER direct 2019-01-01
KIM-ROSEN, ANNAH Y CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
PORTNOFF, DAVID ROSS CFO AND PRINCIPAL FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ITAU INTERNATIONAL SECURITIES INC. CHIEF FINANCIAL OFFICER, FINOP direct 2007-03-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
MORIARTY, EDMOND N CEO AND PRESIDENT 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
CHIRDO, JAMES MICHAEL SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC SR VICE PRESIDENT & PRINCIPAL OPERATIONS OFFICER direct 2019-01-01
KIM-ROSEN, ANNAH Y CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
PORTNOFF, DAVID ROSS CFO AND PRINCIPAL FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ITAU INTERNATIONAL SECURITIES INC. CHIEF FINANCIAL OFFICER, FINOP direct 2007-03-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 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
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
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
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

ROCKEFELLER FINANCIAL LLC

ownership team - last updated 2018-12-07
Name Title Start Date Direct/Indirect % Ownership
PORTNOFF, DAVID ROSS CFO AND FINOP 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ITAU INTERNATIONAL SECURITIES INC. CHIEF FINANCIAL OFFICER, FINOP direct 2007-03-01
RFS OPCO LLC MEMBER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER direct 2017-10-01
MORIARTY, EDMOND N CEO AND PRESIDENT 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MSREF III, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. DIRECTOR & MANAGING DIRECTOR direct 2015-04-01
MSREF IV, LLC HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF IV, LLC CHIEF OPERTATING OFFICER direct 2011-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC HEAD OF MERCHANT BANKING direct 2011-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF II, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. COO MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSVP 2002, INC. HEAD OF MERCHANT BANKING direct 2011-02-01
MORGAN STANLEY AIP GP LP BUSINESS HEAD direct 2015-04-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF V, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF OPERATING OFFICER OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSRESS III MANAGER, L.L.C. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSRESS III MANAGER, L.L.C. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSREF REAL ESTATE ADVISOR, INC. HEAD OF MERCHANG BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INFRASTRUCTURE INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MS CAPITAL PARTNERS ADVISER INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY INVESTMENT ADVISORS INC. DIRECTOR & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSDW VENTURE PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MSDW CAPITAL PARTNERS IV INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
EARLY ADOPTER FUND MANAGER INC CHIEF OPERATING OFFICER, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. COO OF MORGAN STANLEY INVESTMENT MANAGEMENT AND HEAD OF MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-02-01
SINGH, HARDIT DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC DIRECTOR direct 2018-03-01
FLEMING, GREGORY JAMES DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & EXECUTIVE VICE PRESIDENT direct 2003-09-01
MORGAN STANLEY INVESTMENT ADVISORS INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY VENTURE CAPITAL III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW VENTURE PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW CAPITAL PARTNERS IV INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
EARLY ADOPTER FUND MANAGER INC PRESIDENT, MORGAN STANLEY INVESTMENT MANAGEMENT direct 2011-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. PRESIDENT & MANAGING DIRECTOR direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT, MERCHANT BANKING AND REAL ESTATE INVESTING direct 2010-07-01
MSREF IV, LLC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY CAPITAL PARTNERS III INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSREF II, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC PRESIDENT direct 2011-03-01
MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT LLC PRESIDENT direct 2011-03-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSVP 2002, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSREF V, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
CONSULTING GROUP ADVISORY SERVICES LLC PRESIDENT direct 2011-03-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT direct 2010-02-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MSRESS III MANAGER, L.L.C. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MSREF REAL ESTATE ADVISOR, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MORGAN STANLEY INFRASTRUCTURE INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANELY SMITH BARNEY direct 2010-01-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY WEALTH MANAGEMENT direct 2010-07-01
MS CAPITAL PARTNERS ADVISER INC. PRESIDENT OF MORGAN STANLEY INVESTMENT MANAGEMENT AND MORGAN STANLEY SMITH BARNEY direct 2010-07-01
MORGAN STANLEY SMITH BARNEY LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
MORGAN STANLEY SMITH BARNEY LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2011-01-01
KIM-ROSEN, ANNAH Y CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
VIKING GLOBAL PARTNERS LLC GENERAL PARTNER VIKING GLOBAL INVESTORS LP 04/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
VIKING GLOBAL INVESTORS LP GENERAL PARTNER direct 1999-04-01
ROCKEFELLER CAPITAL MANAGEMENT L.P. MEMBER RFS OPCO LLC 03/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
VIKING GLOBAL INVESTORS LP VOTING SECURITY SHAREHOLDER DRAGSA 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
ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. GENERAL PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC GENERAL PARTNER indirect 2017-10-01
DRAGSA 24 CAYMAN LTD. LIMITED PARTNER ROCKEFELLER CAPITAL MANAGEMENT L.P. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 24 CAYMAN LTD. MEMBER ROCKEFELLER CAPITAL MANAGEMENT GENERAL PARTNER L.L.C. 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ROCKEFELLER FINANCIAL LLC LIMITED PARTNER indirect 2018-03-01
ROCKEFELLER FINANCIAL LLC MEMBER indirect 2018-03-01
DRAGSA 30 CAYMAN LTD. 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 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

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