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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Louis Augustus Fennell

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK, NY | Johns Island, SC

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Search this name across graphsid dfx:ria:4994ce91-73c3-e15c-7ad7-50e4cd38d470

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2002 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: Oct 13, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 13, 2000
First registration: Jul 25, 2002
Dual registered: yes, broker-dealer
Other names: FENNELL AUGUSTUS LOUIS|Gus Augustus Fennell|LOUIS AUGUSTUS FENNELL
IAPD individual key: 4259945

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	Dec 26, 2025	n/a	yes	Johns Island, SC\|NEW YORK, NY	Current employment
VICTORY CAPITAL MANAGEMENT INC.	Asset manager	Jan 9, 2018	May 8, 2025	no	Concord, NC	Previous registration
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Aug 28, 2014	Jan 12, 2017	no	PRINCETON, NJ\|PRINCETON, NJ\|Boston, MA\|PRINCETON, NJ	Previous registration
LORD, ABBETT & CO. LLC	Asset manager	Jul 25, 2002	Aug 6, 2014	no	JERSEY CITY, NJ\|JERSEY CITY, NJ	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
VICTORY CAPITAL MANAGEMENT INC.	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	May 8, 2025	Dec 26, 2025	232	Firm change	Other
BLACKROCK INVESTMENT MANAGEMENT, LLC	VICTORY CAPITAL MANAGEMENT INC.	Jan 12, 2017	Jan 9, 2018	362	Firm change	Other
LORD, ABBETT & CO. LLC	BLACKROCK INVESTMENT MANAGEMENT, LLC	Aug 6, 2014	Aug 28, 2014	22	Firm change	Other

Relationships

Registered with (4)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Dec 26, 2025 to presentfactForm ADV
→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 9, 2018 to May 8, 2025factForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 28, 2014 to Jan 12, 2017factForm ADV
→ LORD, ABBETT & CO. LLCRegistered adviserregistration: previous registration
Jul 25, 2002 to Aug 6, 2014factForm ADV

Dated events

Occurred
May 8, 2025
Advisor changed firm
Louis Augustus Fennell left Victory Capital Management Inc. for New York Life Investment Management Llc (registered 2025-12-26)
Form ADVobserved 3 days ago