MACKAY SHIELDS LLC
Latest filing: Mar 31, 2025 (30 days ago)
AUM
$151,640,537,359
9% change vs. 1 year ago
-8% change vs. 3 years ago
14% change vs. 5 years ago
64% change vs. 10 years ago
Employee Count
201
-10% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
33% change vs. 10 years ago
Main Office
NEW YORK, NY
299 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10171
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $151.6 |
| Non-Discretionary | $0.0 |
| Total | $151.6 |
| Client | AUM |
|---|---|
| Retail | $2.6 |
| Pooled | $88.4 |
| Institutional | $60.7 |
| Total | $151.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 21 | $2.6 |
| Average HNW AUM | $121,444,518 | |
| Retail Total | 21 | $2.6 |
| Average Retail AUM | $121,444,518 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON CORPORATION | NEW YORK-NY-USA | $26.1 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $8.4 |
| STATE STREET CORPORATION | BOSTON-MA-USA | $7.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $63.2 |
| Retail SMA AUM | $2.6 |
| Institutional SMA AUM | $60.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 6% | $3.8 |
| Municipal | 36% | $22.8 |
| Sovereign | 0% | $0.0 |
| IG Credit | 19% | $12.0 |
| HY Credit | 26% | $16.4 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $1.3 |
| Other | 11% | $7.0 |
| Total | 100% | $63.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NYL INVESTORS LLC | $312.2 | 169553 | |
| CANDRIAM, SOCIÉTÉ EN COMMANDITE PAR ACTIONS | $128.7 | 173355 | |
| 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 | |
| BOW RIVER ADVISERS, LLC | $0.7 | 325285 | |
| MACKAY MUNICIPAL MANAGERS HIGH INCOME OPPORTUNITIES GP LLC | $0.0 | - | |
| MACKAY SHIELDS SELECT CREDIT OPPORTUNITIES FUND GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES GP LLC | $0.0 | - | |
| MKS GLOBAL SUSTAINABLE EMERGING MARKETS EQUITIES FUND GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL CAPITAL TRADING GP LLC | $0.0 | - | |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | $0.0 | - | |
| MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND GP LLC | $0.0 | - | |
| KARTESIA MANAGEMENT SÀRL | $0.0 | 289175 | |
| NYLIFE INSURANCE COMPANY OF ARIZONA | $0.0 | - | |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | $0.0 | - | |
| NYLIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 35350 |
| MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES GP LLC | $0.0 | - | |
| MACKAY SHIELDS INTERMEDIATE BOND FUND GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS HIGH YIELD SELECT GP LLC | $0.0 | - | |
| NEW YORK LIFE TRUST COMPANY | $0.0 | trust company | - |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | $0.0 | 306388 | |
| MACKAY SHIELDS CORE PLUS OPPORTUNITIES FUND GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS OPPORTUNITIES ALLOCATION GP LLC | $0.0 | - | |
| NEW YORK LIFE ENTERPRISES LLC | $0.0 | - | |
| NYLINK INSURANCE AGENCY INCORPORATED | $0.0 | - | |
| MKS GLOBAL EMERGING MARKETS EQUITIES FUND GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS CALIFORNIA OPPORTUNITIES GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL NEW YORK OPPORTUNITIES GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS STRATEGIC OPPORTUNITIES GP LLC | $0.0 | - | |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | $0.0 | - | |
| NEW YORK LIFE INSURANCE COMPANY | $0.0 | - | |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | $0.0 | - | |
| MACKAY SHIELDS UK LLP | $0.0 | 167939 | |
| NYLIFE SECURITIES LLC | $0.0 | broker-dealer | 5167 |
| MACKAY MUNICIPAL MANAGERS OPPORTUNITIES GP LLC | $0.0 | - | |
| TRISTAN CAPITAL PARTNERS LLP | $0.0 | - | |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | $0.0 | - | |
| MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES HL (CAYMAN) GP LLC | $0.0 | - | |
| MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND GP LLC | $0.0 | - | |
| MACKAY SHIELDS CORE FIXED INCOME FUND GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
18 active
| Name | Title |
|---|---|
| MORIARTY, CORNELIUS, JOSEPH | SENIOR MANAGING DIRECTOR |
| BUSTAMANTE, RENE, ARTURO | CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE MANAGING DIRECTOR |
| LOFFREDO, JOHN, MICHAEL | VICE CHAIRMAN, EXECUTIVE MANAGING DIRECTOR |
| DIMELLA, ROBERT, ALAN | EXECUTIVE MANAGING DIRECTOR |
| MALLOY, ANTHONY, RAMSEY | ELECTED TO THE BOARD OF MANAGERS |
| AKKERMAN, JOHN, WILLIAM | EXECUTIVE MANAGING DIRECTOR |
| LEE, YOUNG, NMN | GENERAL COUNSEL, SENIOR MANAGING DIRECTOR |
| CORKER, MICHAEL, DANIEL | CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR |
| SUSSER, ANDREW, MARK | EXECUTIVE MANAGING DIRECTOR |
| ABOU-JAOUDE, NAIM, (NMN) | INTERIM CEO AND CHAIRMAN OF THE BOARD OF MANAGERS |
| LEHNEIS, KIRK, C | ELECTED TO BOARD OF MANAGERS |
| HARTE, FRANCIS, MICHAEL | ELECTED TO THE BOARD OF MANAGERS |
| FITZGERALD, CHRISTOPHER, PAUL | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR |
| SANG, DALE, MYUNKIEW | CHIEF TECHNOLOGY AND OPERATIONS OFFICER, SENIOR MANAGING DIRECTOR |
| KARAOGLAN, ALAIN, MAURICE | ELECTED TO THE BOARD OF MANAGERS |
| DEPALMA, MICHAEL | SENIOR MANAGING DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
7 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ERIC SNYDER | NEW YORK | NY | S66|2007-12-05 | ||||||
| RENE BUSTAMANTE | NEW YORK | NY | S66|2004-01-12 | ||||||
| BETH GRIPER | NEW YORK | NY | S63|1999-02-19|S66|2008-03-24 | ||||||
| JEFFREY ANDERSON | NEW YORK | NY | S63|1981-11-13|S65|1995-06-29 | CHARTERED FINANCIAL ANALYST | |||||
| HUME NAJDAWI | NEW YORK | NY | S66|2022-03-29 | ||||||
| KIRK KASHEVAROFF | NEW YORK | NY | S63|1994-10-20 | ||||||
| BRUNO MACHADO | NEW YORK | NY | S66|2007-02-21 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $151.6 | $0.0 | 0% | 201 | 0 | 0% |
| 2024-04-02 | $139.1 | $12.5 | 9% | 223 | -22 | -10% |
| 2023-04-04 | $129.9 | $21.8 | 17% | 226 | -25 | -11% |
| 2022-04-01 | $164.2 | -$12.6 | -8% | 201 | 0 | 0% |
| 2021-04-05 | $154.4 | -$2.8 | -2% | 201 | 0 | 0% |
| 2020-04-01 | $132.9 | $18.7 | 14% | 200 | 1 | 0% |
| 2019-04-01 | $108.5 | $43.2 | 40% | 182 | 19 | 10% |
| 2018-04-02 | $115.8 | $35.9 | 31% | 186 | 15 | 8% |
| 2017-04-01 | $95.7 | $55.9 | 58% | 157 | 44 | 28% |
| 2016-04-01 | $89.7 | $61.9 | 69% | 155 | 46 | 30% |
| 2015-04-01 | $92.7 | $58.9 | 64% | 151 | 50 | 33% |
| 2014-04-01 | $81.0 | $70.6 | 87% | 151 | 50 | 33% |
| 2013-04-01 | $78.9 | $72.8 | 92% | 136 | 65 | 48% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-03/22/2013, AL-03/30/2012, AR-03/22/2013, AZ-03/22/2013, CA-03/30/2009, CO-03/22/2013, CT-03/30/2009, DC-03/22/2013, DE-03/22/2013, FL-03/25/2013, GA-03/22/2013, HI-03/22/2013, IA-03/22/2013, ID-03/22/2013, IL-03/27/2013, IN-03/30/2012, KS-03/22/2013, KY-03/22/2013, LA-03/22/2013, MA-03/22/2013, MD-03/30/2012, ME-03/22/2013, MI-03/22/2013, MN-03/22/2013, MO-03/22/2013, MS-03/22/2013, MT-03/22/2013, NC-03/22/2013, ND-03/22/2013, NE-03/22/2013, NH-03/22/2013, NJ-08/06/2009, NM-03/22/2013, NV-03/22/2013, NY-07/29/1976, OH-03/23/2004, OK-03/30/2006, OR-03/22/2013, PA-03/22/2013, PR-03/30/2017, RI-03/22/2013, SC-03/22/2013, SD-03/22/2013, TN-03/22/2013, TX-01/14/1986, UT-03/22/2013, VA-03/22/2013, VI-03/30/2017, VT-03/22/2013, WA-03/22/2013, WI-03/22/2013, WV-03/22/2013, WY-03/28/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) NEWSLETTERS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV