Your SlideShare is downloading. ×
  • Like
Rockefeller  co overview
Upcoming SlideShare
Loading in...5
×

Thanks for flagging this SlideShare!

Oops! An error has occurred.

×

Now you can save presentations on your phone or tablet

Available for both IPhone and Android

Text the download link to your phone

Standard text messaging rates apply

Rockefeller co overview

  • 549 views
Published

 

Published in Economy & Finance , Business
  • Full Name Full Name Comment goes here.
    Are you sure you want to
    Your message goes here
    Be the first to comment
    Be the first to like this
No Downloads

Views

Total Views
549
On SlideShare
0
From Embeds
0
Number of Embeds
0

Actions

Shares
Downloads
9
Comments
0
Likes
0

Embeds 0

No embeds

Report content

Flagged as inappropriate Flag as inappropriate
Flag as inappropriate

Select your reason for flagging this presentation as inappropriate.

Cancel
    No notes for slide

Transcript

  • 1. a trusted partnerCompany OverviewFirst Quarter 2012These materials may not be reproduced or distributed for any purpose without Rockefeller & Co., Inc.’s prior written consent. This presentation is not valid without a consultation with a representative ofRockefeller & Co., Inc. These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.The information contained in the Company Overview is supplemental information to Rockefeller Financial’s composite presentations as provided in the GIPS® Compliant Presentations.Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 0
  • 2. Company Overview 2 Asset Management 8Contents Appendix 12 Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 1
  • 3. Who We AreRockefeller & Co. is a leading international investment advisory andasset management firm headquartered in New York City, thatprovides comprehensive wealth and investment management services.Rockefeller & Co. has established significant advisory relationships formanaging investment assets with local partners outside the UnitedStates, which combine Rockefeller & Co.’s investment expertise andwell-regarded brand with regional distribution capability. Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 2
  • 4. Our Philosophy and CommitmentRockefeller & Co. is a private and independent company that is supported byprofessionals who are focused on delivering performance-driven solutions to our clients.We do not conduct broker-dealer activities or collect placement fees from third parties.At Rockefeller & Co. we are focused on obtaining the best results for our clients, and wecommit to putting our clients first. Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 3
  • 5. Client Base At Rockefeller & Co., we have a sophisticated and long-standing client base that includes individuals, families, family offices, trusts, foundations, endowments and institutions of all sizes. We have a global perspective, and a long-standing history of managing assets for a growing number of international institutions. We are proud to serve diverse clients with a wide variety of asset levels and needs. As of March 31, 2012, Rockefeller & Co. and its subsidiaries were responsible for the administration of approximately $34 billion in assets for high net worth individuals, families, family offices, trusts, foundations, endowments and institutions of all sizes1. 1. This number includes assets under management of approximately $7.8 billion plus other non-managed assets for which Rockefeller & Co. and/or its subsidiaries provide other services, such as financial planning, administration and/or consulting for open architecture programs or other assignments, information management, consolidated reporting, and tax and accounting. Information management services are provided by Rockit Solutions, LLC.Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 4
  • 6. Our HeritageSince our beginnings as the John D. Rockefeller family office in1882, Rockefeller & Co., Inc. has focused on building the knowledgeand infrastructure required to manage substantial assets.The company has evolved from its origins as a single-family officeinto a globally diversified, investment advisory and assetmanagement firm. Source of images: http://commons.wikimedia.org.Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 5
  • 7. A Commitment to HumanityRockefeller & Co.’s commitment to society’s needs by servicing foundations,endowments and other nonprofit organizations around the world, datesback to our beginnings.The Rockefeller family has been instrumental in developing importantsocietal organizations including: The Peking Union Medical College, TheAsia Society, the Rockefeller Institute for Medical Research (now RockefellerUniversity), the United Nations, The Rockefeller Foundation, The Museumof Modern Art (MoMA), and the University of Chicago amongst others.*Rockefeller & Co. was an early pioneer in socially responsive investing,having started a program for members of the Rockefeller family in the early1970’s. Today, we offer investment strategies focusing on companies that areresponsive to social, ethical and environmental concerns.*The information provided is for illustrative and historical purposes only and is intended to reflect the Rockefeller family’stradition of supporting nonprofit organizations. The organizations referenced are not affiliated with Rockefeller & Co. Inc. Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 6
  • 8. Why Rockefeller & Co.?We are a stable, private firm with a history of craftinginnovative investment solutions for a select clientele.The Rockefeller name is instantly recognizable and itsreputation is highly regarded across the globe.We manage assets with discretion, and offer customizablestrategies, tailored to the needs of our clients.Over the long-term, our asset management strategies havedemonstrated strong performance against benchmarks across avariety of asset classes. Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 7
  • 9. Asset Management At Rockefeller & Co. we have a range of internally-managed globally focused and U.S. equity investment strategies that are available to our clients. Clients may invest in these strategies through separately managed accounts, comingled investment vehicles or under sub-advisory mandates. Our asset management strategies date back decades and have demonstrated strong performance against benchmarks over the long-term. Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 8
  • 10. Asset Management Strategies Global Large Cap Equity Socially Responsive Investing U.S. Small Cap Equity U.S. Large Cap Equity Non-U.S. Large Cap Equity Global Dividend Growth Strategy Global Select Equity Strategy Performance Analytics Risk Management & Portfolio Review Source of images: http://commons.wikimedia.org. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 9
  • 11. Alternative InvestmentsRockefeller & Co. has expertise in managing venture capital and privateequity funds, as well as hedge funds both in a fund of funds approach and incustomized client portfolios.Our strategies also include opportunistic investment vehicles designed totake advantage of market dislocations and unique opportunities.The firm’s clients have several billion dollars in commitments and have beenearly and long-term investors in alternative asset classes.The Rockefeller family’s involvement in launching Venrock (one of the firstventure capital firms in the world) and AEA (one of the first professionallymanaged buyout firms) dates back more than 40 years.Our Multi-Manager Strategies include: Rockefeller Opportunistic Credit Strategy (Hedge Fund of Funds) Rockefeller Alpha Select Strategy (Hedge Fund of Funds) Rockefeller Access Strategy (Private Equity Fund of Funds) Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 10
  • 12. SupplementalInvestment Management Performance - GrossPeriods Ending March 31, 2012 6.4 Annualized Gross Portfolio Performance (%)1,2,8 QTR 1 YR 3 YRS 5 YRS 10 YRS ITD4Global Equity Portfolio5 13.9 2.2 21.3 1.7 5.7 9.4 (1/93)MSCI World Index – Net Dividends6 11.6 0.6 20.2 -0.7 4.7 7.0Outperformance (+) / Underperformance (-) +2.3 +1.6 +1.1 +2.4 +1.0 +2.4Global Large Capitalization Sustainability and Impact Portfolio 14.8 4.2 21.1 2.1 5.9 8.5 (1/91)MSCI World Index – Net Dividends6 11.6 0.6 20.2 -0.7 4.7 8.1Outperformance (+) / Underperformance (-) +3.2 +3.6 +0.9 +2.8 +1.2 +0.4U.S. Small Capitalization Portfolio5 10.7 1.5 29.2 5.3 8.9 12.7 (1/89)Russell 2000® Index7 12.4 -0.2 26.9 2.1 6.5 9.3Outperformance (+) / Underperformance (-) -1.7 +1.7 +2.3 +3.2 +2.4 +3.4Non-U.S. Equity Portfolio 11.8 -2.1 22.3 -0.8 7.6 5.6 (7/98)MSCI EAFE Index – Net Dividends6 10.9 -5.8 17.1 -3.5 5.7 3.2Outperformance (+) / Underperformance (-) +0.9 +3.7 +5.2 +2.7 +1.9 +2.4U.S. Equity Portfolio 14.1 6.1 21.8 4.1 4.8 3.5 (7/98)S&P 500 Index 12.6 8.5 23.4 2.0 4.1 3.4Outperformance (+) / Underperformance (-) +1.5 -2.4 -1.6 +2.1 +0.7 +0.1Balanced Portfolio5* 9.4 4.1 17.6 3.9 6.3 8.8 (1/89)70% MSCI World Index – Net Dividends6 /30% BCAG Bond Index9 8.1 3.1 16.5 2.1 5.0 9.6Outperformance (+) / Underperformance (-) +1.3 +1.0 +1.1 +1.8 +1.3 -0.8Global Dividend Growth 7.2 6.3 - - - 15.6 (7/10)MSCI World Index – Net Dividends6 11.6 0.6 - - - 16.5Outperformance (+) / Underperformance (-) -4.4 +5.7 - - - -0.9Global Select Equity 12.2 5.5 - - - 24.1 (6/09)MSCI ACWI Index - Net Dividends6 11.9 -0.7 - - - 13.5Outperformance (+) / Underperformance (-) +0.3 +6.2 - - - +10.6*Preliminary performance Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 11Please see last page for notes.These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.
  • 13. Global Research and Asset Management Teamas of March 2011Rockefeller & Co.’s asset management and research team comprises 30 individuals with diverse backgrounds and tremendous experience in theindustry. Our Portfolio Managers have an average of 20 years in the industry and 10 years at the firm. Our analysts have an average of 7 years ofexperience in the industry. As a sign of our global approach, we speak more than 10 different languages. Years Industry SectorTeam Members Title with Firm Experience ResponsibilityRichard Bayles 3 38 Portfolio Manager GeneralistRobin H. Brown <1 1 Sustainability Analyst Socially Responsive InvestmentsJimmy C. Chang, CFA 7 17 Portfolio Manager GeneralistConnie Chin 4 2 Portfolio Analyst Portfolio Analysis & Risk ManagementChristopher M. Crosby, CFA 15 17 Equity Analyst Consumer/ IndustrialsGreg Draper 4 6 Portfolio Analyst Fixed IncomeNancy Fink 24 24 Portfolio Manager Small CapFarha-Joyce Haboucha, CFA 15 32 Portfolio Manager Socially Responsive InvestmentsDavid P. Harris, CFA 18 22 Chief Investment Officer GeneralistBradley M. Hunnewell 2 2 Portfolio Analyst Portfolio Analysis & Risk ManagementMark Iannarelli, CFA 1 12 Director of Fixed Income Fixed IncomeAndrew M. Kello 5 10 Fixed Income Analyst Fixed IncomeDavid Kim 1 1 Analyst Consumer HealthcareVictor Lee, CFA 8 8 Equity Analyst Telecom/ Media/ TechnologyBrian McNamara, CFA 5 5 Equity Analyst Financials/ConsumerMichael Messina 3 3 Trade Administration TradingRolando F. Morillo 11 12 Equity Analyst EnergyAllison K. Munro Jr. 14 17 Director of Portfolio Analysis & Risk Management and Trading Engineering and TradingRosanna Nuciforo 26 32 Senior Trader TradingChristopher Rieger 3 3 Portfolio Analyst Portfolio Analysis & Risk ManagementLinda M. Roberts 26 16 Governance Analyst Socially Responsive InvestmentsEduardo Santo 1 2 Analyst EnergyAustin Schwartz <1 1 Trade & Analytics Risk Management Administrator Portfolio Analysis & Risk ManagementMichael Seo, CFA 12 12 Portfolio Manager Energy/ Industrials/ UtilitiesAlbert Sindall III 3 5 Analyst Fixed IncomeEmmanuel L. Sobong, CFA 11 13 Equity Analyst FinancialsDavid K. Song, M.D., Ph.D., CFA 3 6 Portfolio Manager HealthcareJake Tran 1 3 Portfolio Analyst /Trading Administrator Portfolio Analysis & Risk Management/ TradingMariela Vargova, Ph.D. 6 6 Sr. Sustainability Analyst Socially Responsive InvestmentsJ. Joseph Waldman 5 5 Global Subadvisory Coordinator Generalist Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 12
  • 14. SupplementalInvestment Management PerformancePeriods Ending March 31, 2012 Notes: 1.The information contained in this presentation is supplemental to the attached GIPS® compliant presentation. The following chart details the composite to which each portfolio discussed herein relates. Rockefeller Portfolio Name GIPS ® Presentation Name Global Equity Portfolio Global Large Cap Equity Composite Global Large Capitalization Sustainability and Impact Portfolio Global Large Cap Sustainability and Impact Equity Composite U.S. Small Capitalization Portfolio5 U.S. Small Cap Equity Composite Non-U.S. Equity Portfolio Non-U.S. Large Cap Equity Composite U.S. Equity Portfolio U.S. Large Cap Equity Composite Balanced Portfolio Multi-Asset Class Strategy Composite Global Dividend Growth Global Large Cap Dividend Growth Equity Composite Global Select Equity Global Select Equity Long Horizon Composite 2.The information is as of March 31, 2012 and may not be representative of current or future performance. The Portfolios’ investments may change at any time. Future results may vary substantially from past performance. 3. Returns shown are time-weighted total returns in U.S. dollars and reflect receipt of dividends and interest. Returns for periods greater than one year are annualized. 4. Returns of all indices do not reflect commissions or fees that would be incurred by an investor in pursuing the index return. 5. Inception to date performance. Rockefeller & Co.s performance results are shown for periods after December 31, 1988, the time when Rockefeller & Co. began storing performance results and related records electronically. The actual inception date for the U.S. Small Capitalization and Balanced Portfolios are November 1, 1981, and August 15, 1985, respectively. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 13These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.
  • 15. SupplementalInvestment Management PerformancePeriods Ending March 31, 2012 Notes (cont.): 6. The Global Equity Portfolio, the U.S. Small Capitalization Portfolio, and the Balanced Portfolio are comprised of tax-exempt investors and are managed without regard to tax consequences. Taxable investors would likely participate in a Global Equity, U.S. Small Capitalization or Balanced investing strategy through a separate vehicle or managed account that has the same investment objective as the Portfolio, but seeks to maximize the after-tax returns of its investors. Future results of a comparable account may vary substantially from past performance. The U.S. Small Capitalization Portfolio may invest in Canadian equities. 7. Results of the MSCI EAFE Index, the MSCI World Index, and the MSCI ACWI Index are presented after the deduction of certain foreign withholding taxes. 8. The Russell 2000® Index is a registered trademark of the Frank Russell Company. Frank Russell Company is the owner of the copyright relating to this index and is the source of its performance value. 9. Prior to July 1, 2011, the benchmark for the Balanced Portfolio was a blend: 50% S&P 500 Index / 20% MSCI EAFE Index – Net Dividends / 30% Barclays Capital Aggregate Bond Index. Since July 1, 2011, the Balanced Portfolios benchmark changed to 70% MSCI World Index – Net Dividends / 30% Barclays Capital Aggregate Bond Index. Annualized returns for the benchmark that include periods prior to July 1, 2011 reflect a time-weighted blend of the historical benchmark and the new benchmark. Annual returns for the benchmark reflect the historical benchmark returns for 2010 and prior years, the historical benchmark returns linked to the new benchmark returns for 2011 and the new benchmark returns commencing in 2012. 10. The performance figures shown are gross and do not reflect deductions of advisory, custody and other fees and expenses that an investor would incur in the management of an advisory account. R&Co.’s regular management fees are disclosed in Part II of its Form ADV. The payment of these fees would reduce an investor’s actual investment return over time. For instance, a portfolio valued at US$1,000 achieving an average annual return of 10 percent over a period of five years, before deducting a 1 percent per annum advisory fee paid monthly, would total approximately US$1,611, but only US$1,532 after deduction of fees. 11. Rockefeller & Co. considers the information in these materials to be accurate, but does not represent that it is complete or should be relied upon as the sole source of investment performance or suitability for investment. These materials may not be reproduced or distributed for any purpose without Rockefeller & Co.’s prior written consent. These materials do not constitute an offer for sale of interest in the Portfolios. Prospective investors should consult the Portfolios’ Confidential Private Placement Memorandum before investing. These materials may be used only in one-on- one presentations including, where applicable, between consultants and potential clients. Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material. 14These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.