MACKAY SHIELDS LLC
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MACKAY SHIELDS LLC
(CRD# 107717)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Apr 1969.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$108.5 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
20%
of RAUM.
Non-US investors represent
14%
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MACKAY SHIELDS LLC
also reported in
Mar 2019
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182
employees,
with
66
performing advisory functions.
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A total of 3 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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MACKAY SHIELDS LLC has one or more disclosure events currently on file with the SEC.
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MACKAY SHIELDS LLC has Notice Filings with the following State Securities Authorities:
AK-Mar 2013, AL-Mar 2012, AR-Mar 2013, AZ-Mar 2013, CA- CO-Mar 2013, CT-Mar 2009, DC-Mar 2013, DE-Mar 2013, FL-<
, GA-Mar 2013, HI-Mar 2013, IA-Mar 2013, ID-Mar 2013, IL-<
, IN-Mar 2012, KS-Mar 2013, KY-Mar 2013, LA-Mar 2013, MA-<
, MD-Mar 2012, ME-Mar 2013, MI-Mar 2013, MN-Mar 2013, MO-<
, MS-Mar 2013, MT-Mar 2013, NC-Mar 2013, ND-Mar 2013, NE-<
, NH-Mar 2013, NJ-Aug 2009, NM-Mar 2013, NV-Mar 2013, NY-<
, OH-Mar 2004, OK-Mar 2006, OR-Mar 2013, PA-Mar 2013, PR-<
, RI-Mar 2013, SC-Mar 2013, SD-Mar 2013, TN-Mar 2013, TX-<
, UT-Mar 2013, VA-Mar 2013, VI-Mar 2017, VT-Mar 2013, WA-<
, WI-Mar 2013, WV-Mar 2013, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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