Christopher Jacob Potts
Investment Adviser Representative at Rockefeller Capital Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Christopher Jacob Potts is an investment adviser representative with Rockefeller Capital Management in Cincinnati, OH, where they have been registered since 2026. They have worked in the securities industry since 2014 and have been registered with 3 firms, including MM Ascend LIFE Investor Services, LLC and AXA Advisors, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 6 (investment company and variable products). They are registered to provide investment advice in Ohio and Texas.
Office
Advisors at this office: 19
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Ohio, Texas
- Broker:
35 states and territories
Arizona, Arkansas, California, Colorado, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Kentucky, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- MM Ascend Life Investor Services, LLCJun 2014 – Jul 2024Cincinnati, OH
- MassMutual Ascend Life Insurance CompanyJun 2014 – Jul 2024Cincinnati, OH
- Rockefeller Financial LLCOct 2024 – no end date reportedCincinnati, OH
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Rockefeller Capital Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 995
- Offices listed on AdvisorFinder:
- 47
- Main office:
- New York, NY
- SEC file number:
- 801-114033
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Rockefeller Capital Management
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Christopher Jacob Potts has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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