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.

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

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Feb 27, 2021

First registration

May 7, 2021

Dual registered

yes, broker-dealer

Other names

SHANE BRAASCH|SHANE R BRAASCH|SHANE RL BRAASCH|SHANE RANDALL LEE BRAASCH

IAPD individual key

6127208

• Occurred

  Apr 3, 2025
  Advisor changed firm

  Shane Braasch left Pacer Advisors, Inc. for New York Life Investment Management Llc (registered 2025-04-22)

  Form ADVobserved 5 days ago
• Occurred

  Apr 1, 2024
  Advisor changed firm

  Shane Braasch left Perceptual Wealth for Pacer Advisors, Inc. (registered 2024-04-10)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:c4c2eef4-0898-b231-7caa-f036d44342cb

First observed

May 7, 2021

Last observed

Sep 14, 2026 6 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.