Seth Alton Wheeler
Investment Adviser Representative at Rockefeller Capital Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Seth Alton Wheeler is an investment adviser representative with Rockefeller Capital Management in Charlotte, NC, where they have been registered since 2025. They have worked in the securities industry since 2021 and were previously registered with Northwestern Mutual Investment Services,llc. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in North Carolina and Texas.
Office
Advisors at this office: 31
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina, Texas
- Broker:
33 states and territories
Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Missouri, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington
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.
- Armed ForcesMay 2010 – Jul 2020Fort Bragg, NC
- Northwestern Mutual Life Insurance CompanyJul 2020 – Nov 2025Milwaukee, WI
- Northwestern Mutual Investment Services LLCNov 2020 – Nov 2025Charlotte, NC
- InnoStrat LLCJan 2020 – Dec 2023Southern Pines, NC
- Northwestern Mutual Wealth Management CompanyJul 2021 – Nov 2025Milwaukee, WI
- Rockefeller Financial LLCNov 2025 – no end date reportedCharlotte, NC
- Rockefeller Capital ManagementNov 2025 – no end date reportedCharlotte, NC
Official records & sources
Data as of June 28, 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. Seth Alton Wheeler 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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