AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $128.7 |
| Non-Discretionary | $0.0 |
| Total | $128.7 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $91.8 |
| Institutional | $37.0 |
| Total | $128.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| BELFIUS BANK | BRUSSELS--BEL | $20.3 |
| CACEIS | PARIS--FRA | $6.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $37.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $37.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 16% | $5.9 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.4 |
| Municipal | 0% | $0.0 |
| Sovereign | 30% | $11.1 |
| IG Credit | 23% | $8.5 |
| HY Credit | 6% | $2.2 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 22% | $8.1 |
| Cash | 2% | $0.7 |
| Other | 0% | $0.0 |
| Total | 100% | $37.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NYL INVESTORS LLC | $312.2 | 169553 | |
| MACKAY SHIELDS LLC | $151.6 | 107717 | |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | $113.2 | 109591 | |
| APOGEM CAPITAL LLC | $40.6 | 309234 | |
| EAGLE STRATEGIES LLC | $25.4 | 110826 | |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | $12.6 | 289468 | |
| INDEXIQ ADVISORS LLC | $10.4 | 144790 | |
| FLATIRON RR LLC, MANAGER SERIES | $0.8 | 314505 | |
| NYLIFE INSURANCE COMPANY OF ARIZONA | $0.0 | - | |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | $0.0 | - | |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | $0.0 | - | |
| NYLIFE SECURITIES LLC | $0.0 | broker-dealer | 5167 |
| NYLINK INSURANCE AGENCY INC. | $0.0 | - | |
| KARTESIA MANAGEMENT SÀRL | $0.0 | 289175 | |
| NEW YORK LIFE INSURANCE COMPANY | $0.0 | - | |
| TRISTAN CAPITAL PARTNERS | $0.0 | - | |
| NEW YORK LIFE TRUST COMPANY | $0.0 | trust company | - |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | $0.0 | - | |
| MACKAY SHIELDS UK LLP | $0.0 | 167939 | |
| FLEXAM INVEST ASSET MANAGEMENT | $0.0 | - | |
| CANDRIAM SWITZERLAND LLC | $0.0 | - | |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | $0.0 | - | |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | $0.0 | - | |
| NYLIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 35350 |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | $0.0 | 306388 | |
| NEW YORK LIFE ENTERPRISES LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
21 active
| Name | Title |
|---|---|
| VEAUX, PIERRE-GUILLAUME, RENE STEPHANE | GLOBAL HEAD OF LEGAL AND COMPLIANCE |
| ABOU-JAOUDE, NAIM, (NMN) | CHAIRMAN OF THE BOARD OF DIRECTORS |
| MALDAGUE, JEAN-YVES, MARIE PIERRE | MANAGING DIRECTOR, CHAIRMAN OF THE BOARD OF MANAGEMENT AND CHIEF FINANCIAL OFFICER |
| HARTE, MICHAEL, FRANCIS | DIRECTOR |
| CUCHET, FABRICE, MARIE HENRI | CHIEF OPERATIONS OFFICER |
| HAMELINK, VINCENT, LEOPOLD | DIRECTOR, MEMBER OF THE BOARD OF MANAGEMENT AND CHIEF EXECUTIVE OFFICER |
| DRUART, GONZAGUE, BRUNO MICHEL | GLOBAL HEAD OF COMPLIANCE AND US CHIEF COMPLIANCE OFFICER |
| KARAOGLAN, ALAIN, MAURICE | DIRECTOR |
| GUERRIERO, RENATO, (NMN) | DIRECTOR, DEPUTY CHIEF EXECUTIVE OFFICER |
| FOREST, NICOLAS, PIERRE ANDRE | CHIEF INVESTMENT OFFICER |
| MALLOY, ANTHONY, RAMSEY | DIRECTOR |
| KUAN, MELISSA, CHING-AI | DIRECTOR |
| HANLEY, SHAWNA, LEIKO | DIRECTOR |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $128.7 | $0.0 | 0% | 603 | 0 | 0% |
| 2025-04-21 | $128.7 | $0.0 | 0% | 603 | 0 | 0% |
| 2024-04-02 | $127.3 | $1.4 | 1% | 612 | -9 | -1% |
| 2023-04-04 | $117.3 | $11.4 | 10% | 616 | -13 | -2% |
| 2022-04-01 | $85.1 | $43.6 | 51% | 139 | 464 | 334% |
| 2021-04-05 | $78.0 | $50.8 | 65% | 131 | 472 | 360% |
| 2020-04-01 | $70.2 | $58.6 | 83% | 128 | 475 | 371% |
| 2019-04-01 | $59.9 | $68.8 | 115% | 124 | 479 | 386% |
| 2018-04-02 | $65.4 | $63.3 | 97% | 122 | 481 | 394% |
| 2017-04-01 | $50.2 | $78.6 | 157% | 111 | 492 | 443% |
| 2016-04-01 | $46.1 | $82.6 | 179% | 97 | 506 | 522% |
| 2015-04-01 | $39.9 | $88.9 | 223% | 86 | 517 | 601% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION NEWSLETTERS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV