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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Bernardo Fidel Lozano

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK, NY | Miami, FL

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Search this name across graphsid dfx:ria:97eeb36f-e01f-2cad-1192-cffb14578b9f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Jun 21, 2019 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: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 19, 2019
First registration: Jun 21, 2019
Dual registered: yes, broker-dealer
Other names: BERNIE LOZANO
IAPD individual key: 720476

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	Apr 18, 2025	n/a	yes	NEW YORK, NY\|Miami, FL	Current employment
AFFILIATED CAPITAL	n/a	Oct 29, 2024	Nov 12, 2024	no	CORAL GABLES, FL	Previous registration
STANDARD RULES, LLC	n/a	Jul 9, 2024	Aug 22, 2024	no	MIAMI, FL	Previous registration
ACTIVA CAPITAL	n/a	Feb 9, 2024	Nov 7, 2024	no	MIAMI, FL	Previous registration
PARTICIPANT CAPITAL	Asset manager	Oct 31, 2019	Oct 12, 2022	no	MIAMI, FL	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jun 21, 2019	Aug 7, 2019	no	HEATHROW, FL\|Miami, FL	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
AFFILIATED CAPITAL	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Nov 12, 2024	Apr 18, 2025	157	Firm change	Other
ACTIVA CAPITAL	STANDARD RULES, LLC	Nov 7, 2024	Jul 9, 2024	-121	Firm change after gap	Other
STANDARD RULES, LLC	AFFILIATED CAPITAL	Aug 22, 2024	Oct 29, 2024	68	Firm change	Other
PARTICIPANT CAPITAL	ACTIVA CAPITAL	Oct 12, 2022	Feb 9, 2024	485	Firm change after gap	Other
THRIVENT INVESTMENT MANAGEMENT INC.	PARTICIPANT CAPITAL	Aug 7, 2019	Oct 31, 2019	85	Firm change	Other

Relationships

Registered with (6)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 18, 2025 to presentfactForm ADV
→ AFFILIATED CAPITALRegistered adviserregistration: previous registration
Oct 29, 2024 to Nov 12, 2024factForm ADV
→ ACTIVA CAPITALRegistered adviserregistration: previous registration
Feb 9, 2024 to Nov 7, 2024factForm ADV
→ STANDARD RULES, LLCRegistered adviserregistration: previous registration
Jul 9, 2024 to Aug 22, 2024factForm ADV
→ PARTICIPANT CAPITALRegistered adviserregistration: previous registration
Oct 31, 2019 to Oct 12, 2022factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jun 21, 2019 to Aug 7, 2019factForm ADV

Dated events

Occurred
Nov 12, 2024
Advisor changed firm
Bernardo Fidel Lozano left Affiliated Capital for New York Life Investment Management Llc (registered 2025-04-18)
Form ADVobserved 5 days ago
Occurred
Nov 7, 2024
Advisor changed firm
Bernardo Fidel Lozano left Activa Capital for Standard Rules, Llc (registered 2024-07-09)
Form ADVobserved 5 days ago
Occurred
Aug 22, 2024
Advisor changed firm
Bernardo Fidel Lozano left Standard Rules, Llc for Affiliated Capital (registered 2024-10-29)
Form ADVobserved 5 days ago
Occurred
Oct 12, 2022
Advisor changed firm
Bernardo Fidel Lozano left Participant Capital for Activa Capital (registered 2024-02-09)
Form ADVobserved 5 days ago