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CRD 109591
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES WILLIAM HAWES | n/a | Hingham, MA | NEW YORK, NY | 24 | 35 | n/a | yes |
| KENNETH JOSEPH PARKINSON | n/a | NEW YORK, NY | 22 | 23 | n/a | yes |
| PHILIP EDWARD CAMINITI | n/a | NEW YORK, NY | 22 | 34 | n/a | yes |
| PATRICIA ANN JORGEN | n/a | NEW YORK, NY | 21 | 33 | 1 | yes |
| KEITH WILLIAM MCDONALD | n/a | NEW YORK, NY | San Diego, CA | 20 | 27 | 1 | yes |
| JOHN DOUGLAS VIGLIONE | n/a | NEW YORK, NY | Ft. Lauderdale, FL | 18 | 29 | n/a | yes |
| JENNIFER DANIELLE TARSNEY | n/a | NEW YORK, NY | Greenville, SC | 17 | 30 | n/a | yes |
| HENRY ESPINOSA | n/a | New Providence, NJ | NEW YORK, NY | 15 | 19 | 2 | yes |
| DAVID LEE SPENCE | n/a | Bloomfield Hills, MI | NEW YORK, NY | 14 | 28 | 4 | yes |
| JANET KOH | n/a | Marina Del Rey, CA | NEW YORK, NY | 14 | 21 | 2 | yes |
| BRETT WILLIAM REEDER | n/a | NEW YORK, NY | 14 | 20 | 2 | yes |
| JAMES RICHARD KORN | n/a | Basking Ridge, NJ | NEW YORK, NY | 14 | 19 | 1 | yes |
| PHILIP HENRY CONSTANTS | n/a | Metuchen, NJ | NEW YORK, NY | 13 | 13 | n/a | yes |
| JONATHAN SIMON DOWIAK | n/a | NEW YORK, NY | 13 | 15 | n/a | yes |
| JONATHAN MICHAEL WEITZ | n/a | Glencoe, IL | NEW YORK, NY | 13 | 20 | 1 | yes |
| AMANDA CHOMYSZAK | n/a | Seattle, WA | NEW YORK, NY | 12 | 17 | 2 | yes |
| GREGORY R. LIPPERT | n/a | Dallas, TX | NEW YORK, NY | 12 | 17 | n/a | yes |
| DAVID SHAUL LASKAR | n/a | NEW YORK, NY | Allendale, NJ | 12 | 24 | 3 | yes |
| SEAN THOMAS ODONNELL | n/a | RICHMOND, VA | NEW YORK, NY | 12 | 21 | 4 | yes |
| ROBERT JOSEPH WOJEHOWSKI | n/a | NEW YORK, NY | Ridgewood, NJ | 12 | 19 | 1 | yes |
| JOHN MICHAEL DOLAN | n/a | Midland Park, NJ | NEW YORK, NY | 11 | 28 | 3 | yes |
| LOTUS THERESA ARTHUR | n/a | Jersey City, NJ | NEW YORK, NY | 11 | 14 | 1 | yes |
| JEFFREY MATTHEW ZIELINSKI | n/a | NEW YORK, NY | West Caldwell, NJ | 10 | 14 | 2 | yes |
| BRIAN JOSEPH SULLIVAN | n/a | Medfield, MA | NEW YORK, NY | 9 | 18 | 3 | yes |
| Brian James Wilson | n/a | NEW YORK, NY | Tulsa, OK | 8 | 23 | 1 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NYLIM-GRC FUND 1-2002 LP | Real Estate Fund | $229,944 | Oct 17, 2012 | 12 | Mar 30, 2012 | dropped | 021-51426 |
| NYLIAC PRIVATE PLACEMENT VARIABLE UNIVERSAL LIFE SEPERATE ACCOUNT 101 | Other Private Fund | $0 | Oct 17, 2012 | 0 | Mar 30, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ABOU-JAOUDE, NAIM, (NMN) | CHIEF EXECUTIVE OFFICER | Na | yes | 05/2023 | May 8, 2023 | Sep 12, 2024 |
| BOPP, KEVIN, MICHAEL | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2016 | Jan 6, 2016 | Sep 12, 2024 |
| Cronin, Maureen | SVP, DEPUTY GENERAL COUNSEL AND CHIEF INVESTMENTS COUNSEL | Na | yes | 01/2023 | Jan 31, 2023 | Sep 12, 2024 |
| HANLEY, DALE, ALEXANDER | CHIEF RISK OFFICER | Na | yes | 10/2015 | Aug 18, 2016 | Sep 12, 2024 |
| HARTE, FRANCIS, MICHAEL | CHIEF FINANCIAL OFFICER | Na | yes | 06/2014 | Mar 28, 2018 | Sep 12, 2024 |
| KARAOGLAN, ALAIN, MAURICE | ELECTED MANAGER | Na | yes | 10/2022 | Oct 14, 2022 | Sep 12, 2024 |
| Lehneis, Kirk, Christopher | CHIEF OPERATING OFFICER | Na | yes | 01/2017 | Mar 28, 2018 | Sep 12, 2024 |
| MALLOY, ANTHONY, RAMSEY | ELECTED MANAGER | Na | yes | 02/2017 | Mar 30, 2012 | Sep 12, 2024 |
| NEW YORK LIFE INSURANCE COMPANY | INDIRECT INTEREST HOLDER | E | yes | 12/1999 | Mar 30, 2012 | Sep 12, 2024 |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER | E | yes | 12/1999 | Mar 30, 2012 | Sep 12, 2024 |
| YOON, JAE SUNG | CHIEF INVESTMENT OFFICER | Na | yes | 08/2016 | Aug 18, 2016 | Sep 12, 2024 |
| 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 |
| 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 |
| INDEXIQ ADVISORS LLC | n/a | Former SEC adviser | $10B | N | yes | n/a |
| BOW RIVER ADVISERS, LLC | n/a | Asset manager | $1.2B | N | yes | n/a |
| CANDRIAM, SOCIETE EN COMMANDITE PAR ACTIONS | n/a | n/a | n/a | N | yes | n/a |
| FLATIRON RR LLC, MANAGER SERIES | n/a | n/a | n/a | 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 UK LLP | n/a | n/a | n/a | N | no | n/a |
| NEW YORK LIFE ENTERPRISES LLC | n/a | n/a | n/a | N | yes | n/a |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK | 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 |
| NYL INVESTMENTS EUROPE LIMITED | 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 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $121B | $119B | 364 | 18 | 0 | n/a | n/a |
| 2024 | Mar 31, 2025 | $113B | $111B | 349 | 20 | 0 | n/a | n/a |
| 2023 | Mar 28, 2024 | $99B | $97B | 319 | 14 | 0 | n/a | n/a |
| 2022 | Mar 30, 2023 | $92B | $90B | 335 | 15 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $119B | $116B | 329 | 15 | 0 | n/a | n/a |
| 2020 | Mar 30, 2021 | $106B | $102B | 348 | 14 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $94B | $90B | 341 | 13 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $82B | $77B | 328 | 13 | 0 | n/a | n/a |
| 2017 | Mar 28, 2018 | $95B | $89B | 339 | 15 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $94B | $88B | 362 | 15 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $101B | $96B | 410 | 13 | n/a | n/a | n/a |
| 2014 | Mar 20, 2015 | $113B | $110B | 843 | 11 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $319B | $317B | 1,396 | 86 | n/a | 13 | $3.5B |
| 2012 | Apr 1, 2013 | $256B | $254B | 1,386 | 86 | n/a | 12 | $3.3B |
| 2011 | Mar 30, 2012 | $188B | $186B | n/a | n/a | n/a | 13 | $3.0B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 7 | 2 | 5 | 2.3% | 2 | 0 | 0 | 24 | 17 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $121B | $113B | 6.7% | $92B | 9.5% | 364 | 349 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SIGNATOR INVESTORS, INC. | 7 | Apr 15, 2015 | Apr 30, 2015 | NEW YORK, NY | Team lift out | Other | 9.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NUVEEN ASSET MANAGEMENT, LLC | 2 | Aug 10, 2020 | Oct 23, 2020 | CHICAGO, IL | Team lift out | Other | 1.5% |