Rockefeller co overview

0 Copyright 2012 © Rockefeller & Co., Inc. All Rights Reserved. Does not apply to sourced material.

These 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 of Rockefeller & 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.

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Company Overview First Quarter 2012

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Company Overview 2 Asset Management 8 Appendix 12

Contents



Who We Are

Rockefeller & Co. is a leading international investment advisory and asset management firm headquartered in New York City, that provides comprehensive wealth and investment management services.

Rockefeller & Co. has established significant advisory relationships for managing investment assets with local partners outside the United States, which combine Rockefeller & Co.’s investment expertise and well-regarded brand with regional distribution capability.



Our Philosophy and Commitment

Rockefeller & Co. is a private and independent company that is supported by professionals 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 we commit to putting our clients first.



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.



Our Heritage

Since our beginnings as the John D. Rockefeller family office in 1882, Rockefeller & Co., Inc. has focused on building the knowledge and infrastructure required to manage substantial assets.

The company has evolved from its origins as a single-family office into a globally diversified, investment advisory and asset management firm.



A Commitment to Humanity Rockefeller & Co.’s commitment to society’s needs by servicing foundations, endowments and other nonprofit organizations around the world, dates back to our beginnings. The Rockefeller family has been instrumental in developing important societal organizations including: The Peking Union Medical College, The Asia Society, the Rockefeller Institute for Medical Research (now Rockefeller University), the United Nations, The Rockefeller Foundation, The Museum of 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 early 1970’s. Today, we offer investment strategies focusing on companies that are responsive to social, ethical and environmental concerns.

*The information provided is for illustrative and historical purposes only and is intended to reflect the Rockefeller family’s tradition of supporting nonprofit organizations. The organizations referenced are not affiliated with Rockefeller & Co. Inc.



Why Rockefeller & Co.?

We are a stable, private firm with a history of crafting innovative investment solutions for a select clientele.

The Rockefeller name is instantly recognizable and its reputation is highly regarded across the globe.

We manage assets with discretion, and offer customizable strategies, tailored to the needs of our clients.

Over the long-term, our asset management strategies have demonstrated strong performance against benchmarks across a variety of asset classes.



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.



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



Alternative Investments

Rockefeller & Co. has expertise in managing venture capital and private equity funds, as well as hedge funds both in a fund of funds approach and in customized client portfolios. Our strategies also include opportunistic investment vehicles designed to take advantage of market dislocations and unique opportunities. The firm’s clients have several billion dollars in commitments and have been early and long-term investors in alternative asset classes. The Rockefeller family’s involvement in launching Venrock (one of the first venture capital firms in the world) and AEA (one of the first professionally managed 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)


6.4 Annualized Gross Portfolio Performance (%)1,2,8 QTR 1 YR 3 YRS 5 YRS 10 YRS ITD4

Global 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 7.0

Outperformance (+) / Underperformance (-) +2.3 +1.6 +1.1 +2.4 +1.0 +2.4

Global 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 8.1


U.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 9.3

Outperformance (+) / Underperformance (-) -1.7 +1.7 +2.3 +3.2 +2.4 +3.4

U.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 3.4

Outperformance (+) / Underperformance (-) +1.5 -2.4 -1.6 +2.1 +0.7 +0.1

Non-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 3.2


Balanced 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 9.6

Outperformance (+) / Underperformance (-) +1.3 +1.0 +1.1 +1.8 +1.3 -0.8

Investment Management Performance - Gross Periods Ending March 31, 2012

Global Dividend Growth 7.2 6.3 - - - 15.6 (7/10) MSCI World Index – Net Dividends6 11.6 0.6 - - - 16.5

Outperformance (+) / Underperformance (-) -4.4 +5.7 - - - -0.9

Global Select Equity 12.2 5.5 - - - 24.1 (6/09) MSCI ACWI Index - Net Dividends6 11.9 -0.7 - - - 13.5

Outperformance (+) / Underperformance (-) +0.3 +6.2 - - - +10.6

*Preliminary performance

Please see last page for notes. These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.

Supplemental


Global Research and Asset Management Team as of March 2011 Rockefeller & Co.’s asset management and research team comprises 30 individuals with diverse backgrounds and tremendous experience in the industry. 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 of experience in the industry. As a sign of our global approach, we speak more than 10 different languages.

Team Members Years

with Firm Industry Experience Title Sector

Responsibility Richard Bayles 3 38 Portfolio Manager Generalist Robin H. Brown <1 1 Sustainability Analyst Socially Responsive Investments Jimmy C. Chang, CFA 7 17 Portfolio Manager Generalist Connie Chin 4 2 Portfolio Analyst Portfolio Analysis & Risk Management Christopher M. Crosby, CFA 15 17 Equity Analyst Consumer/ Industrials Greg Draper 4 6 Portfolio Analyst Fixed Income Nancy Fink 24 24 Portfolio Manager Small Cap Farha-Joyce Haboucha, CFA 15 32 Portfolio Manager Socially Responsive Investments David P. Harris, CFA 18 22 Chief Investment Officer Generalist Bradley M. Hunnewell 2 2 Portfolio Analyst Portfolio Analysis & Risk Management Mark Iannarelli, CFA 1 12 Director of Fixed Income Fixed Income Andrew M. Kello 5 10 Fixed Income Analyst Fixed Income David Kim 1 1 Analyst Consumer Healthcare Victor Lee, CFA 8 8 Equity Analyst Telecom/ Media/ Technology Brian McNamara, CFA 5 5 Equity Analyst Financials/Consumer Michael Messina 3 3 Trade Administration Trading

Rolando F. Morillo 11 12 Equity Analyst Energy Allison K. Munro Jr. 14 17 Director of Portfolio Analysis & Risk Management and Trading Engineering and Trading Rosanna Nuciforo 26 32 Senior Trader Trading Christopher Rieger 3 3 Portfolio Analyst Portfolio Analysis & Risk Management Linda M. Roberts 26 16 Governance Analyst Socially Responsive Investments Eduardo Santo 1 2 Analyst Energy Austin Schwartz <1 1 Trade & Analytics Risk Management Administrator Portfolio Analysis & Risk Management Michael Seo, CFA 12 12 Portfolio Manager Energy/ Industrials/ Utilities Albert Sindall III 3 5 Analyst Fixed Income Emmanuel L. Sobong, CFA 11 13 Equity Analyst Financials David K. Song, M.D., Ph.D., CFA 3 6 Portfolio Manager Healthcare Jake Tran 1 3 Portfolio Analyst /Trading Administrator Portfolio Analysis & Risk Management/ Trading Mariela Vargova, Ph.D. 6 6 Sr. Sustainability Analyst Socially Responsive Investments J. Joseph Waldman 5 5 Global Subadvisory Coordinator Generalist


Investment Management Performance Periods Ending March 31, 2012

These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.

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. 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.

Supplemental

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


Investment Management Performance Periods Ending March 31, 2012

These materials may be used only in one-on-one presentations including, where applicable, between consultants and potential clients.

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 Portfolio's 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.

Supplemental

Rockefeller co overview

Economy & Finance

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