Rockefeller Capital Management Mutual Funds

Rockefeller Capital Management, an independent firm with distinctive experience in global investing and wealth management, offers mutual funds.

Equity Strategies

In managing equities, we utilize a global approach looking for attractive ideas irrespective of geography. We apply a rigorous, bottom-up security analysis that includes fundamental, sector-based research in seeking to identify businesses that have high or improving returns on capital, barriers to competition and compelling valuations.

Rockefeller Equity Allocation Fund (ROCKX)

Objective: To generate long-term total return from capital appreciation and income.

The Fund seeks to achieve its investment objective by investing its assets globally in a range of equity asset classes and, to a lesser extent, in fixed income securities, real estate and commodity linked equities (such as real estate investment trusts and master limited partnerships), and currencies.

Fixed Income Strategies

Our taxable and tax-exempt fixed income strategies aim to generate current income while preserving principal. We strive to provide stability in uncertain times by thoughtfully managing credit and interest rate risk. At the same time, we seek to capitalize on market dislocations by applying our top-down and bottom-up methodologies.

 

Rockefeller Core Taxable Bond Fund (RCFIX)

Objective: To generate current income consistent with the preservation of capital.

The Fund seeks to achieve its investment objective by investing at least 80% of its net assets in fixed-income securities, and invests primarily in investment grade fixed-income securities1.

Rockefeller Intermediate Tax Exempt National Bond Fund (RCTEX)

Objective: To generate current income that is exempt from federal personal income tax consistent with the preservation of capital.

The Fund seeks to achieve its investment objective by investing at least 80% of its net assets in intermediate duration municipal bonds and other fixed-income securities that generate income exempt from regular federal income tax. The Fund invests primarily in investment grade municipal bonds and other types of fixed-income securities1.

Rockefeller Intermediate Tax Exempt New York Bond Fund (RCNYX)

Objective: To generate current income that is exempt from federal, New York State and New York City personal income tax, consistent with the preservation of capital.

The Fund seeks to achieve its investment objective by investing at least 80% of its net assets in fixed-income securities whose interest is exempt from regular federal, New York State and New York City personal income tax.

1. Investment grade securities are fixed-income securities rated in the top four ratings categories by independent rating organizations such as Standard & Poor’s Ratings Group (“S&P”) and Moody’s Investors Service, Inc. (“Moody’s”) or another nationally recognized statistical rating organization (“NRSRO”), or deemed by the Adviser to be of comparable quality.

Investments involve risk. Principal loss is possible. An investment in a Rockefeller Mutual Fund is subject to the following risks: general market risk; management risk; the risks of investing in fixed income securities (including interest rate risk, credit risk, extension risk, liquidity risk and prepayment risk); asset-backed and mortgage backed-securities risk; government-sponsored entities risk; restricted securities risk; valuation risk; municipal securities risk; high-yield fixed income securities risk; when-issued securities risk; zero-coupon bonds risk and other investment company and exchange-traded funds risk. Both the Rockefeller Intermediate Tax Exempt National Bond Fund and Rockefeller Intermediate Tax Exempt New York Bond Fund are subject to focused portfolio risk and tax risk (municipal investments are affected by changes in federal income tax rates applicable to, or the continuing federal tax-exempt status of, interest income on municipal obligations). In addition, the Rockefeller Intermediate Tax Exempt New York Bond Fund is subject to the risk of investing in New York municipal issuers. The Rockefeller Equity Allocation Fund is subject to small- and medium-capitalization company risks, which tend to have limited liquidity and greater price volatility than large-capitalization companies. The Fund invests in foreign securities which involve greater volatility and political, economic and currency risks and differences in accounting methods. These risks are greater in emerging markets. Investing in commodities may subject the Fund to greater risks and volatility as commodity prices may be influenced by a variety of factors including unfavorable weather, environmental factors, and changes in government regulations. MLPs are subject to certain risks inherent in the structure of MLPs, including complex tax structure risks, the limited ability for election or removal of management, limited voting rights, potential dependence on parent companies or sponsors for revenues to satisfy obligations, and potential conflicts of interest between partners, members and affiliates. REITs are subject to adverse changes in general economic and local market conditions, supply or demand for similar or competing properties, taxes, governmental regulations or interest rates, as well as the risks associated with improving and operating property, may decrease the value of REITs in which the Fund may invest.

The Fund is offered only to United States residents, and information on this site is intended only for such persons. Nothing on this web site should be considered a solicitation to buy or an offer to sell shares of the Fund in any jurisdiction where the offer or solicitation would be unlawful under the securities laws of such jurisdiction.

The Rockefeller mutual funds are distributed by Quasar Distributors, LLC.