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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

INDEXIQ ADVISORS LLC

CRD 144790

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:5f39f6bb-81fa-da79-fab5-608ee3d09610

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 11
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2024
22 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $10BItem 5.F on the latest filing (2024-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 32
SEC number: 801-68220
CRD: 144790
Filings on the tape: 22
First filed: Mar 30, 2012
Latest filed: Mar 28, 2024
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Benintende, Jack	CHIEF OPERATING OFFICER	Na	yes	02/2023	Mar 29, 2023	Mar 28, 2024
BOPP, KEVIN, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	01/2017	Jan 4, 2017	Mar 28, 2024
CURTIN, MATTHEW, VINCENT	CHIEF LEGAL OFFICER	Na	yes	01/2017	Oct 27, 2015	Mar 28, 2024
HARTE, FRANCIS, MICHAEL	ELECTED MANAGER	Na	yes	10/2015	Apr 30, 2018	Mar 28, 2024
HENDRY, THOMAS, ALEXANDER	ELECTED MANAGER	Na	yes	10/2015	Oct 27, 2015	Mar 28, 2024
INDEXIQ LLC	MANAGING MEMBER	E	yes	07/2007	Oct 27, 2015	Mar 28, 2024
LEHNEIS, KIRK, CHRISTOPHER	CHIEF EXECUTIVE OFFICER	Na	yes	01/2018	Mar 28, 2018	Mar 28, 2024
NEW YORK LIFE INSURANCE COMPANY	INDIRECT INTEREST HOLDER	E	yes	04/2015	Oct 27, 2015	Mar 28, 2024
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC	Member	E	yes	04/2015	Oct 27, 2015	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NYL INVESTORS LLC	n/a	Institutional manager	$329B	N	yes	n/a
MACKAY SHIELDS LLC	n/a	Other adviser	$160B	N	yes	n/a
CANDRIAM, SOCIETE EN COMMANDITE PAR ACTIONS	n/a	Asset manager	$155B	N	yes	n/a
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$121B	N	yes	n/a
APOGEM CAPITAL LLC	n/a	Other adviser	$44B	N	yes	n/a
EAGLE STRATEGIES LLC	n/a	Bd affiliated wealth	$32B	N	yes	n/a
AUSBIL INVESTMENT MANAGEMENT LIMITED	n/a	Other adviser	$14B	N	yes	n/a
FLATIRON RR LLC, MANAGER SERIES	n/a	Asset manager	$1.2B	N	yes	n/a
BOW RIVER ADVISERS, LLC	n/a	Asset manager	$1.2B	N	yes	n/a
KARTESIA MANAGEMENT SARL	n/a	n/a	n/a	N	yes	n/a
LIFE INSURANCE COMPANY OF NORTH AMERICA	n/a	n/a	n/a	N	yes	n/a
MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
MACKAY SHIELDS UK LLP	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE ENTERPRISES LLC	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE GROUP INSURANCE COMPANY OF NY	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
NYLIFE DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
NYLIFE INSURANCE COMPANY ARIZONA	n/a	n/a	n/a	N	yes	n/a
NYLIFE SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
NYLINK INSURANCE AGENCY INC.	n/a	n/a	n/a	N	yes	n/a
SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V.	n/a	n/a	n/a	N	yes	n/a
TRISTAN CAPITAL PARTNERS	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 28, 2024	$10B	$10B	8	6	0	n/a	n/a
2022	Mar 29, 2023	$9.0B	$9.0B	14	9	0	n/a	n/a
2021	Mar 30, 2022	$5.1B	$5.1B	9	4	0	n/a	n/a
2020	Mar 30, 2021	$3.9B	$3.9B	12	9	0	n/a	n/a
2019	Mar 30, 2020	$3.5B	$3.5B	6	5	0	n/a	n/a
2018	Mar 28, 2019	$4.5B	$4.5B	6	3	0	n/a	n/a
2017	Mar 28, 2018	$3.9B	$3.9B	11	3	0	n/a	n/a
2016	Mar 31, 2017	$2.4B	$2.3B	10	6	n/a	n/a	n/a
2015	Mar 30, 2016	$1.7B	$1.6B	24	6	n/a	n/a	n/a
2014	Mar 26, 2015	$1.6B	$1.6B	17	14	n/a	n/a	n/a
2013	Mar 28, 2014	$1.2B	$1.2B	16	15	n/a	n/a	n/a
2012	Mar 28, 2013	$954M	$954M	13	11	n/a	n/a	n/a
2011	Mar 30, 2012	$763M	$763M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$10B	$9.0B	16.3%	$3.9B	38.7%	8	14	0	0

Relationships

Affiliated with (26)

← MACKAY SHIELDS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← NYL INVESTORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← APOGEM CAPITAL LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← CANDRIAM S.C.A.Registered adviserother investment adviser, bank, common control
factForm ADV
← FLATIRON RR LLC, MANAGER SERIESRegistered adviserother investment adviser, bank, common control
factForm ADV
← NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← BOW RIVER ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← AUSBIL INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MACKAY SHIELDS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ NYL INVESTORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CANDRIAM S.C.A.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ AUSBIL INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ APOGEM CAPITAL LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ FLATIRON RR LLC, MANAGER SERIESRegistered adviserother investment adviser, common control
factForm ADV
→ BOW RIVER ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CANDRIAM BELGIUM S.A.Registered adviserother investment adviser, bank, common control
factForm ADV
← CANDRIAM FRANCE S.A.S.Registered adviserother investment adviser, bank, common control
factForm ADV
← PRIVATE ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← GOLDPOINT PARTNERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← MADISON CAPITAL FUNDING LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← CORNERSTONE CAPITAL MANAGEMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
← INSTITUTIONAL CAPITAL LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CORNERSTONERegistered adviserother investment adviser, bank, common control
factForm ADV
← MCF CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (9)

← HENDRY, THOMAS, ALEXANDEROwnerELECTED MANAGER, ownership code NA, individual
Oct 27, 2015 to presentfactForm ADV
← HARTE, FRANCIS, MICHAELOwnerELECTED MANAGER, ownership code NA, individual
Apr 30, 2018 to presentfactForm ADV
← BOPP, KEVIN, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2017 to presentfactForm ADV
← CURTIN, MATTHEW, VINCENTOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Oct 27, 2015 to presentfactForm ADV
← LEHNEIS, KIRK, CHRISTOPHEROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← Benintende, JackOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2023 to presentfactForm ADV
← INDEXIQ LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV
← NEW YORK LIFE INSURANCE COMPANYOwnerINDIRECT INTEREST HOLDER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV
← NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV

Dated events

Occurred
Oct 26, 2023
Control person left
John Salvatore Bruno (Chief Investment Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2023-03-29, absent 2023-10-26)
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Regulatory AUM changed
Indexiq Advisors Llc reported RAUM $9.0B, up 93% from $4.6B (2022-10-31 to 2023-03-29)
Form ADVobserved 3 days ago
$4.3B
Occurred
Mar 29, 2023
Control person left
Jomil Guerrero (Chief Operating Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-10-31, absent 2023-03-29)
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Control person joined
Jack Benintende (Chief Operating Officer) appeared on Schedule A of Indexiq Advisors Llc
Form ADVobserved 3 days ago
Occurred
Oct 31, 2022
Control person left
D Ian Forrest (Managing Director) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-10-14, absent 2022-10-31)
Form ADVobserved 3 days ago
Occurred
Oct 14, 2022
Control person left
Nmn Yie-Hsin Hung (Elected Manager) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-07-18, absent 2022-10-14)
Form ADVobserved 3 days ago
Occurred
Oct 14, 2022
Control person left
Herbert Jonathan Zimmerman (Chief Commercial Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-07-18, absent 2022-10-14)
Form ADVobserved 3 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Indexiq Advisors Llc reported RAUM $5.1B, up 30% from $3.9B (2021-03-30 to 2022-03-30)
Form ADVobserved 3 days ago
$1.2B
Occurred
Mar 30, 2022
Control person joined
Jomil Guerrero (Chief Operating Officer) appeared on Schedule A of Indexiq Advisors Llc
Form ADVobserved 3 days ago
Occurred
Mar 30, 2021
Control person joined
D Ian Forrest (Managing Director) appeared on Schedule A of Indexiq Advisors Llc
Form ADVobserved 3 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Indexiq Advisors Llc reported RAUM $3.9B, up 66% from $2.4B (2017-03-31 to 2018-03-28)
Form ADVobserved 3 days ago
$1.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f39f6bb-81fa-da79-fab5-608ee3d09610
First observed: Mar 30, 2012
Last observed: Mar 28, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds 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.

INDEXIQ ADVISORS LLC

CRD 144790

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:5f39f6bb-81fa-da79-fab5-608ee3d09610

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:38 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Benintende, Jack

CHIEF OPERATING OFFICER

yes

02/2023

Mar 29, 2023

Mar 28, 2024

BOPP, KEVIN, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

01/2017

Jan 4, 2017

Mar 28, 2024

CURTIN, MATTHEW, VINCENT

CHIEF LEGAL OFFICER

yes

01/2017

Oct 27, 2015

Mar 28, 2024

HARTE, FRANCIS, MICHAEL

ELECTED MANAGER

yes

10/2015

Apr 30, 2018

Mar 28, 2024

HENDRY, THOMAS, ALEXANDER

ELECTED MANAGER

yes

10/2015

Oct 27, 2015

Mar 28, 2024

INDEXIQ LLC

MANAGING MEMBER

yes

07/2007

Oct 27, 2015

Mar 28, 2024

LEHNEIS, KIRK, CHRISTOPHER

CHIEF EXECUTIVE OFFICER

yes

01/2018

Mar 28, 2018

Mar 28, 2024

NEW YORK LIFE INSURANCE COMPANY

INDIRECT INTEREST HOLDER

yes

04/2015

Oct 27, 2015

Mar 28, 2024

NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC

Member

yes

04/2015

Oct 27, 2015

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NYL INVESTORS LLC

n/a

Institutional manager

$329B

yes

n/a

MACKAY SHIELDS LLC

n/a

Other adviser

$160B

yes

n/a

CANDRIAM, SOCIETE EN COMMANDITE PAR ACTIONS

n/a

Asset manager

$155B

yes

n/a

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$121B

yes

n/a

APOGEM CAPITAL LLC

n/a

Other adviser

$44B

yes

n/a

EAGLE STRATEGIES LLC

n/a

Bd affiliated wealth

$32B

yes

n/a

AUSBIL INVESTMENT MANAGEMENT LIMITED

n/a

Other adviser

$14B

yes

n/a

FLATIRON RR LLC, MANAGER SERIES

n/a

Asset manager

$1.2B

yes

n/a

BOW RIVER ADVISERS, LLC

n/a

Asset manager

$1.2B

yes

n/a

KARTESIA MANAGEMENT SARL

n/a

yes

n/a

LIFE INSURANCE COMPANY OF NORTH AMERICA

n/a

yes

n/a

MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

MACKAY SHIELDS UK LLP

n/a

yes

n/a

NEW YORK LIFE ENTERPRISES LLC

n/a

yes

n/a

NEW YORK LIFE GROUP INSURANCE COMPANY OF NY

n/a

yes

n/a

NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION

n/a

yes

n/a

NEW YORK LIFE INSURANCE COMPANY

n/a

NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED

n/a

yes

n/a

NEW YORK LIFE TRUST COMPANY

n/a

yes

n/a

NYLIFE DISTRIBUTORS LLC

n/a

yes

n/a

NYLIFE INSURANCE COMPANY ARIZONA

n/a

yes

n/a

NYLIFE SECURITIES LLC

n/a

yes

n/a

NYLINK INSURANCE AGENCY INC.

n/a

yes

n/a

SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V.

n/a

yes

n/a

TRISTAN CAPITAL PARTNERS

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 28, 2024

$10B

n/a

2022

Mar 29, 2023

$9.0B

n/a

2021

Mar 30, 2022

$5.1B

n/a

2020

Mar 30, 2021

$3.9B

n/a

2019

Mar 30, 2020

$3.5B

n/a

2018

Mar 28, 2019

$4.5B

n/a

2017

Mar 28, 2018

$3.9B

n/a

2016

Mar 31, 2017

$2.4B

$2.3B

n/a

2015

Mar 30, 2016

$1.7B

$1.6B

n/a

2014

Mar 26, 2015

$1.6B

n/a

2013

Mar 28, 2014

$1.2B

n/a

2012

Mar 28, 2013

$954M

n/a

2011

Mar 30, 2012

$763M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$10B

$9.0B

16.3%

$3.9B

38.7%