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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

ANDREW WILLIAM CAPACCIO

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:1bf1bca0-6d4e-042d-f333-6560178cca40

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 7, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 7, 2000
First registration: Jan 5, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4073271

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Oct 28, 2021	n/a	yes	NEW YORK, NY	Current employment
EAGLE STRATEGIES LLC	Bd affiliated wealth	Oct 6, 2010	May 24, 2011	no	NEW YORK, NY	Previous registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	May 12, 2006	Oct 6, 2010	no	NEW YORK, NY	Previous registration
AVATAR ASSOCIATES	Former SEC adviser	Jan 5, 2004	Jan 10, 2005	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EAGLE STRATEGIES LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	May 24, 2011	Oct 28, 2021	3,810	Firm change after gap	Other
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	EAGLE STRATEGIES LLC	Oct 6, 2010	Oct 6, 2010	0	Firm change	Other
AVATAR ASSOCIATES	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Jan 10, 2005	May 12, 2006	487	Firm change after gap	Other

Relationships

Registered with (3)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
May 12, 2006 to Oct 6, 2010factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Oct 6, 2010 to May 24, 2011factForm ADV
→ AVATAR ASSOCIATESRegistered adviserregistration: previous registration
Jan 5, 2004 to Jan 10, 2005factForm ADV

Dated events

No dated event names this entity yet.