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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Brendan Bostock

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK, NY | Richmond, VA

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Search this name across graphsid dfx:ria:2c27b594-c524-95b5-da55-6d3ffc7a9824

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2014 to Sep 15, 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: Sep 5, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 5, 2013
First registration: Dec 19, 2014
Dual registered: yes, broker-dealer
Other names: BRENDAN RICHARD BOSTOCK
IAPD individual key: 6212696

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	Aug 25, 2025	n/a	yes	Richmond, VA\|NEW YORK, NY	Current employment
APOGEM CAPITAL LLC	Other adviser	Jun 19, 2020	Sep 3, 2025	no	Richmond, VA\|NEW YORK, NY	Previous registration
PRIVATE ADVISORS LLC	Former SEC adviser	Apr 1, 2019	Jun 19, 2020	no	RICHMOND, VA	Previous registration
ASPEN PARTNERS, LTD.	Former SEC adviser	Nov 23, 2016	Dec 31, 2018	no	RICHMOND, VA	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Dec 19, 2014	Oct 11, 2016	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
APOGEM CAPITAL LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Sep 3, 2025	Aug 25, 2025	-9	Channel change	Other
PRIVATE ADVISORS LLC	APOGEM CAPITAL LLC	Jun 19, 2020	Jun 19, 2020	0	Channel change	Other
ASPEN PARTNERS, LTD.	PRIVATE ADVISORS LLC	Dec 31, 2018	Apr 1, 2019	91	Firm change	Other
ALLIANCEBERNSTEIN L.P.	ASPEN PARTNERS, LTD.	Oct 11, 2016	Nov 23, 2016	43	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109247:309234:VA:2020-06-19	Jun 19, 2020	Jun 19, 2020	RICHMOND, VA	Firm change

Relationships

Registered with (5)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Aug 25, 2025 to presentfactForm ADV
→ APOGEM CAPITAL LLCRegistered adviserregistration: previous registration
Jun 19, 2020 to Sep 3, 2025factForm ADV
→ PRIVATE ADVISORS LLCRegistered adviserregistration: previous registration
Apr 1, 2019 to Jun 19, 2020factForm ADV
→ ASPEN PARTNERS, LTD.Registered adviserregistration: previous registration
Nov 23, 2016 to Dec 31, 2018factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Dec 19, 2014 to Oct 11, 2016factForm ADV

Dated events

No dated event names this entity yet.