NEW YORK LIFE INVESTMENT MANAGEMENT LLC
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NEW YORK LIFE INVESTMENT MANAGEMENT LLC
(CRD# 109591)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 2000.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$81.8 Billion,
with discretion over
95%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
2%
.
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NEW YORK LIFE INVESTMENT MANAGEMENT LLC
also reported in
Mar 2019
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328
employees,
with
13
performing advisory functions.
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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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NEW YORK LIFE INVESTMENT MANAGEMENT LLC has one or more disclosure events currently on file with the SEC.
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NEW YORK LIFE INVESTMENT MANAGEMENT LLC has Notice Filings with the following State Securities Authorities: AK-Mar 2002, AL-Feb 2002, AR-Feb 2002, AZ-Feb 2002, CA-Feb 2002
, CO-Feb 2002, CT-Oct 2001, DC-Feb 2002, DE-Mar 2003, FL-Feb 2002
, GA-Nov 2001, HI-Feb 2002, IA-Mar 2002, ID-Feb 2002, IL-Mar 2002
, IN-Feb 2002, KS-Feb 2002, KY-Nov 2001, LA-Feb 2002, MA-Oct 2001
, MD-Feb 2002, ME-Feb 2002, MI-Feb 2002, MN-Mar 2002, MO-Feb 2002
, MS-Feb 2002, MT-Feb 2002, NC-Feb 2002, ND-Feb 2002, NE-Feb 2002
, NH-Feb 2002, NJ-Nov 2001, NM-Mar 2002, NV-Feb 2002, NY-Feb 2002
, OH-Feb 2002, OK-Apr 2002, OR-Feb 2002, PA-Oct 2001, PR-Feb 2002
, RI-Feb 2002, SC-Feb 2002, SD-Feb 2002, TN-Oct 2001, TX-Feb 2002
, UT-Feb 2002, VA-Oct 2001, VT-Feb 2002, WA-Feb 2002, WI-Feb 2002
, WV-Oct 2001
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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
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SEC. Feel free to contact
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