AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $311.3 |
| Non-Discretionary | $0.8 |
| Total | $312.2 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $10.4 |
| Institutional | $301.7 |
| Total | $312.2 |
| 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 |
|---|---|---|
| JPMORGAN CHASE BANK, N.A. | NEW YORK-NY-USA | $133.0 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $76.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $301.7 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $301.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 4% | $12.1 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 49% | $147.8 |
| HY Credit | 4% | $12.1 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $9.1 |
| Other | 40% | $120.7 |
| Total | 100% | $301.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MACKAY SHIELDS LLC | $151.6 | 107717 | |
| 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 | |
| MSVEF GP LLC | $0.0 | - | |
| NYLIFE OFFICE HOLDINGS MEMBER LLC | $0.0 | - | |
| MACKAY SHIELDS UK LLP | $0.0 | 167939 | |
| NYLINK INSURANCE AGENCY INC. | $0.0 | - | |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | $0.0 | - | |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | $0.0 | - | |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | $0.0 | - | |
| TRISTAN CAPITAL PARTNERS | $0.0 | - | |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | $0.0 | - | |
| NEW YORK LIFE TRUST COMPANY | $0.0 | trust company | - |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | $0.0 | - | |
| NYLIC HKP MEMBER LLC | $0.0 | - | |
| NEW YORK LIFE ENTERPRISES LLC | $0.0 | - | |
| NYLIFE INSURANCE COMPANY ARIZONA | $0.0 | - | |
| NYLIFE SECURITIES LLC | $0.0 | broker-dealer | 5167 |
| MSSDF GP LLC | $0.0 | - | |
| NYL INVESTORS NCVAD II GP, LLC | $0.0 | - | |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | $0.0 | 306388 | |
| NEW YORK LIFE INSURANCE COMPANY | $0.0 | - | |
| KARTESIA MANAGEMENT SÀRL | $0.0 | 289175 | |
| NYLIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 35350 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
8 active
| Name | Title |
|---|---|
| MALLOY, ANTHONY, RAMSEY | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGER, AND CHAIRMAN OF COMPENSATION COMMITTEE |
| TALGO, MARK, WILLIAM | MANAGER AND SENIOR MANAGING DIRECTOR |
| NAIR, DINESH, KARUTHEDATH | MANAGER, MEMBER OF COMPENSATION COMMITTEE, MANAGING DIRECTOR AND CFO |
| RATHOD, ALPESH, JASVANT | VP & CHIEF COMPLIANCE OFFICER |
| SABAL, CRAIG, ANDREW | MANAGER AND SENIOR MANAGING DIRECTOR |
| COONEY, COLLEEN, CLARE | MANAGER AND SENIOR MANAGING DIRECTOR |
| CRONIN, MAUREEN, ANNE | SVP, GENERAL COUNSEL, & ASSISTANT SECRETARY |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $312.2 | $0.0 | 0% | 304 | 0 | 0% |
| 2024-04-02 | $300.9 | $11.3 | 4% | 312 | -8 | -3% |
| 2023-04-04 | $291.9 | $20.3 | 7% | 307 | -3 | -1% |
| 2022-04-01 | $277.2 | $35.0 | 13% | 297 | 7 | 2% |
| 2021-04-05 | $269.0 | $43.2 | 16% | 301 | 3 | 1% |
| 2020-04-01 | $253.9 | $58.3 | 23% | 307 | -3 | -1% |
| 2019-04-01 | $243.7 | $68.5 | 28% | 300 | 4 | 1% |
| 2018-04-02 | $236.4 | $75.8 | 32% | 318 | -14 | -4% |
| 2017-04-01 | $228.1 | $84.1 | 37% | 312 | -8 | -3% |
| 2016-04-01 | $217.5 | $94.6 | 43% | 309 | -5 | -2% |
| 2015-04-01 | $214.6 | $97.5 | 45% | 294 | 10 | 3% |
| 2014-04-01 | $0.0 | $0.0 | 0% | 1,200 | -896 | -75% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AZ-05/13/2014, CA-07/23/2014, DE-05/13/2014, GA-07/23/2014, IL-07/23/2014, NJ-03/28/2025, NY-03/28/2014, OK-03/28/2025, PA-03/31/2021, TX-07/23/2014 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV