NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Latest filing: Mar 31, 2025 (30 days ago)
View on IAPD
Adviser Website
LinkedIn Icon Adviser

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
HENRY ESPINOSA NEW YORK NY S66|2007-01-17
JENNIFER TARSNEY NEW YORK NY S63|1996-06-07|S65|2009-01-07
THOMAS SCHMIDT NEW YORK NY S63|2007-02-26|S66|2007-04-09
ROBERT WOJEHOWSKI NEW YORK NY S66|2006-10-25
LAWRENCE RICCI NEW YORK NY S63|1995-10-06|S65|2004-02-17|S66|2020-08-31
SEAN ODONNELL NEW YORK NY S66|2005-06-17
MICHAEL SHIN NEW YORK NY S66|2016-10-28
BRIAN SULLIVAN NEW YORK NY S65|2012-06-07|S63|2014-12-17
STEVE DOSS NEW YORK NY S63|2011-09-27|S66|2013-12-27
NICOLE CLARKE NEW YORK NY S63|2014-09-19 CHARTERED FINANCIAL CONSULTANT
FRANK LOPRESTI NEW YORK NY S63|2012-06-06|S66|2014-09-03
AISHA ELEZI NEW YORK NY S63|2011-03-03|S66|2011-05-24
MAX PRESS NEW YORK NY S66|2018-09-12
JEFFREY ZIELINSKI NEW YORK NY S63|2012-05-21|S66|2015-08-14
SHANE MURPHY NEW YORK NY S66|2017-01-10
JASON ARATA NEW YORK NY S66|2006-10-09
GREGORY LIPPERT NEW YORK NY S63|2009-02-25|S65|2013-02-25
ALEXANDER VARI NEW YORK NY S66|2018-11-09
GABRIELLE VALENTINE NEW YORK NY S63|1999-08-11|S65|2000-01-10
PHILIP CONSTANTS NEW YORK NY S66|2012-12-14

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
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