DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

LOTUS THERESA ARTHUR

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Jersey City, NJ | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:49af1e37-9b53-898a-b7d3-9f1dd10f442d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 8, 2012 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: May 7, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 7, 2012
First registration: May 8, 2012
Dual registered: yes, broker-dealer
Other names: LOTUS HAMM|LOTUS ARTHUR
IAPD individual key: 5966613

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	May 8, 2015	n/a	yes	NEW YORK, NY\|Jersey City, NJ	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 8, 2012	Apr 17, 2015	no	JERSEY CITY, NJ\|NEW YORK, NY\|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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Apr 17, 2015	May 8, 2015	21	Firm change	Other

Relationships

Registered with (2)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
May 8, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 8, 2012 to Apr 17, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49af1e37-9b53-898a-b7d3-9f1dd10f442d
First observed: May 8, 2012
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LOTUS THERESA ARTHUR

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Jersey City, NJ | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:49af1e37-9b53-898a-b7d3-9f1dd10f442d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Asset manager

May 8, 2015

n/a

yes

NEW YORK, NY|Jersey City, NJ

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 8, 2012

Apr 17, 2015

JERSEY CITY, NJ|NEW YORK, NY|NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Apr 17, 2015

May 8, 2015

Firm change

Other