Rockefeller Capital Management Demystified—with Chris Dupuy, Managing Director and Chief Operating Officer

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Mindy DiamondA Conversation with Chris Dupuy, Managing Director and Chief Operating Officer

Rockefeller Capital Management has become one of the hottest brands to hit the Street in decades—THE story amongst advisors serving a high net worth and ultra-high net worth client base.

While industry superstar Greg Fleming at the helm is a draw, the cachet of the Rockefeller name is no doubt what’s driving much of the interest. Greg is building an extraordinary community of top advisors and a leadership dream team that’s unmatched in the industry—and this episode’s guest, Chris Dupuy, is one of that dream team’s most recent additions.

Mindy Diamond Podcast | Chris Dupuy, Managing Director and Chief Operating Officer Rockefeller Capital Management

Chris Dupuy, Managing Director and Chief Operating Officer Rockefeller Capital Management

Chris spent nearly three decades rising through the ranks at Merrill Lynch, his own breakaway story starting in 2014 when he left Merrill for Focus Financial Partners. He’s part of a growing breed of wirehouse leadership breakaways who are moving with the tides, jumping from the big brokerage world to independence.

In this show, Chris shares:

  • How Rockefeller differs from other firms in the space—and how their commitment to “remain small” is enticing to many top advisors and their clients.
  • The types of advisors who are the best fit for the firm—and how these advisors and their clients will benefit from Rockefeller’s unique resources.
  • How he sees the firm reaching the goals Greg has set—and the key players charged with getting them there.
  • The role customization plays in the firm’s value proposition—and why customization itself is an important feature for advisors looking at the independent space.
  • Why the Rockefeller Family Office model is a unique draw—and how the firm’s capabilities are distinguished from Family Office models at other firms.
  • The difference between building your own RIA firm or joining a firm like Rockefeller—and how mindset plays a big role in deciding between the two.

Rockefeller is striving to “change the industry in a really positive way by creating the kind of culture that we all used to be so proud of.”

And after listening to this conversation, I think you’ll agree, they’re well on their way to achieving that goal.



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Chris Dupuy:

Christopher Dupuy joined Rockefeller Capital Management as Managing Director and Chief Operating Officer for Rockefeller Wealth Management on November 1, 2018. Dupuy joined from Focus Financial Partners, where he was a Managing Director and President of Focus Independence.

Prior to joining Focus in 2014, Chris began his career at Merrill Lynch in 1985. He began his career as a Financial Advisor in Morristown, N.J., and later rose to the role of Managing Director. Dupuy first served as National Sales Manager for the Merrill Lynch advisor branch systems in the United States and Latin America, then ran the Wealth Management Bank and Global Investment Solutions businesses around the world. Ultimately, Dupuy led all of Merrill’s Private Banking units, Wealth Management branch offices and International Private Client hubs for the Pacific Northwest while he resided in San Francisco. He is a graduate of James Madison University.

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