NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Latest filing: Jul 08, 2025 (118 days ago)
AUM
$113,162,976,263
14% change vs. 1 year ago
-5% change vs. 3 years ago
20% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
349
9% change vs. 1 year ago
6% change vs. 3 years ago
2% change vs. 5 years ago
-59% change vs. 10 years ago
Main Office
NEW YORK, NY
51 MADISON AVENUE, NEW YORK, NY, UNITED STATES, 10010
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $111.2 |
| Non-Discretionary | $1.9 |
| Total | $113.2 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $109.9 |
| Institutional | $2.7 |
| Total | $113.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 919 | $0.6 |
| Average Individual AUM | $641,155 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 919 | $0.6 |
| Average Retail AUM | $641,155 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NEW YORK-NY-USA | $0.8 |
| MORGAN STANLEY SMITH BARNEY LLC | PURCHASE-NY-USA | $0.3 |
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.2 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $2.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 11% | $0.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 17% | $0.6 |
| Sovereign | 0% | $0.0 |
| IG Credit | 52% | $1.7 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.1 |
| Other | 17% | $0.6 |
| Total | 100% | $3.2 |
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 | |
| MACKAY SHIELDS LLC | $151.6 | 107717 | |
| 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 | |
| BOW RIVER ADVISERS, LLC | $0.7 | 325285 | |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | $0.0 | - | |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LTD | $0.0 | - | |
| NYLINK INSURANCE AGENCY INC. | $0.0 | - | |
| MACKAY SHIELDS UK LLP | $0.0 | 167939 | |
| NEW YORK LIFE TRUST COMPANY | $0.0 | trust company | - |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | $0.0 | - | |
| TRISTAN CAPITAL PARTNERS | $0.0 | - | |
| NEW YORK LIFE ENTERPRISES LLC | $0.0 | - | |
| NYLIFE SECURITIES LLC | $0.0 | broker-dealer | 5167 |
| KARTESIA MANAGEMENT SÀRL | $0.0 | 289175 | |
| NYLIFE INSURANCE COMPANY ARIZONA | $0.0 | - | |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK | $0.0 | - | |
| FLATIRON RR LLC, MANAGER SERIES | $0.0 | - | |
| NYLIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 35350 |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | $0.0 | - | |
| NEW YORK LIFE INSURANCE COMPANY | $0.0 | - | |
| CANDRIAM, SOCIETE EN COMMANDITE PAR ACTIONS | $0.0 | - | |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| BOPP, KEVIN, MICHAEL | CHIEF COMPLIANCE OFFICER |
| YOON, JAE SUNG | CHIEF INVESTMENT OFFICER |
| HANLEY, DALE, ALEXANDER | CHIEF RISK OFFICER |
| LEHNEIS, KIRK, CHRISTOPHER | CHIEF OPERATING OFFICER |
| HARTE, FRANCIS, MICHAEL | CHIEF FINANCIAL OFFICER |
| MALLOY, ANTHONY, RAMSEY | ELECTED MANAGER |
| CRONIN, MAUREEN | SVP, DEPUTY GENERAL COUNSEL AND CHIEF INVESTMENTS COUNSEL |
| ABOU-JAOUDE, NAIM, (NMN) | CHIEF EXECUTIVE OFFICER |
| KARAOGLAN, ALAIN, MAURICE | ELECTED MANAGER |
ADVDB.CO • SOURCE: SEC
Representatives
88 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MORGAN GLASER | NEW YORK | NY | S66|2002-02-15 | ||||||
| JONATHAN DOWIAK | NEW YORK | NY | S63|2011-04-04|S65|2013-03-01 | ||||||
| JOHN PAVESE | NEW YORK | NY | |||||||
| JOSEPH RONAN | NEW YORK | NY | S66|2015-06-03 | ||||||
| FRANK LOPRESTI | NEW YORK | NY | S63|2012-06-06|S66|2014-09-03 | ||||||
| SCOTT SCHELLING | NEW YORK | NY | S66|2020-11-10 | ||||||
| LAUREN D'ASCOLI | NEW YORK | NY | S66|2020-06-12 | ||||||
| BRETT REEDER | NEW YORK | NY | S66|2006-04-07 | ||||||
| BRANDON WILLIAMS | NEW YORK | NY | S63|2014-11-07|S66|2020-07-24 | ||||||
| DAVID SPENCE | NEW YORK | NY | S63|1998-04-13|S66|2004-11-03 | ||||||
| PAVAN KOTHARI | NEW YORK | NY | S66|2013-09-12 | ||||||
| STEVEN JAHNKE | NEW YORK | NY | S63|2001-06-07|S65|2010-11-02 | ||||||
| JASON ARATA | NEW YORK | NY | S66|2006-10-09 | ||||||
| BRENT CAMINITI | NEW YORK | NY | S66|2023-11-06 | ||||||
| ROBERT WOJEHOWSKI | NEW YORK | NY | S66|2006-10-25 | ||||||
| JANET KOH | NEW YORK | NY | S63|2005-05-25|S65|2005-06-03 | ||||||
| MAX PRESS | NEW YORK | NY | S66|2018-09-12 | ||||||
| JEFFREY FINDLING | NEW YORK | NY | S63|1998-10-06|S65|2002-01-11 | ||||||
| PATRICIA JORGEN | NEW YORK | NY | S63|1993-07-14|S65|1994-03-25 | ||||||
| LAWRENCE RICCI | NEW YORK | NY | S63|1995-10-06|S65|2004-02-17|S66|2020-08-31 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $113.2 | $0.0 | 0% | 349 | 0 | 0% |
| 2025-04-21 | $113.2 | $0.0 | 0% | 349 | 0 | 0% |
| 2024-04-02 | $99.3 | $13.9 | 14% | 319 | 30 | 9% |
| 2023-04-04 | $91.9 | $21.2 | 23% | 335 | 14 | 4% |
| 2022-04-01 | $119.0 | -$5.8 | -5% | 329 | 20 | 6% |
| 2021-04-05 | $105.5 | $7.7 | 7% | 348 | 1 | 0% |
| 2020-04-01 | $94.0 | $19.1 | 20% | 341 | 8 | 2% |
| 2019-04-01 | $81.8 | $31.4 | 38% | 328 | 21 | 6% |
| 2018-04-02 | $95.0 | $18.2 | 19% | 339 | 10 | 3% |
| 2017-04-01 | $93.7 | $19.4 | 21% | 362 | -13 | -4% |
| 2016-04-01 | $101.5 | $11.7 | 12% | 410 | -61 | -15% |
| 2015-04-01 | $113.5 | -$0.3 | 0% | 843 | -494 | -59% |
| 2014-04-01 | $319.4 | -$206.3 | -65% | 1,396 | -1,047 | -75% |
| 2013-04-01 | $221.5 | -$108.3 | -49% | 1,184 | -835 | -71% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-03/01/2002, AL-02/25/2002, AR-02/27/2002, AZ-02/25/2002, CA-02/25/2002, CO-02/25/2002, CT-10/02/2001, DC-02/26/2002, DE-03/31/2003, FL-02/26/2002, GA-11/28/2001, HI-02/25/2002, IA-03/04/2002, ID-02/25/2002, IL-03/01/2002, IN-02/25/2002, KS-02/25/2002, KY-11/28/2001, LA-02/25/2002, MA-10/02/2001, MD-02/25/2002, ME-02/25/2002, MI-02/25/2002, MN-03/06/2002, MO-02/26/2002, MS-02/25/2002, MT-02/25/2002, NC-02/25/2002, ND-02/25/2002, NE-02/25/2002, NH-02/26/2002, NJ-11/01/2001, NM-03/12/2002, NV-02/25/2002, NY-02/25/2002, OH-02/25/2002, OK-04/15/2002, OR-02/25/2002, PA-10/02/2001, PR-02/25/2002, RI-02/25/2002, SC-02/25/2002, SD-02/26/2002, TN-10/25/2001, TX-02/26/2002, UT-02/27/2002, VA-10/02/2001, VI-03/30/2020, VT-02/25/2002, WA-02/25/2002, WI-02/25/2002, WV-10/09/2001, WY-03/30/2020 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV