DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
David Lee Spence
New York Life Investment Management LLCasset managerBloomfield Hills, Mi dual registrantIAPD 3005383
Feed of 09/14/2026
At current firm
14 y
since Sep 28, 2011
In the industry
28 y
since Apr 13, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- New York Life Investment Management LLC asset manager currentsince Sep 28, 2011 · New York, Ny
- Eagle Strategies LLC BD affiliatedMar 3, 2011 to May 24, 2011 · New York, Ny
- Putnam Investment Management, LLC asset managerMar 18, 2009 to Dec 20, 2010 · Boston, Ma
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 11, 2005 to Feb 12, 2009 · Farmington Hills, Mi
- Comerica Securities formerNov 4, 2004 to Mar 21, 2005 · Redford, Mi
Moves
a registration end followed by a registration begin elsewhere
- Eagle Strategies LLC to New York Life Investment Management LLCleft May 24, 2011, registered Sep 28, 2011 (127 days) · Other
- Putnam Investment Management, LLC to Eagle Strategies LLCleft Dec 20, 2010, registered Mar 3, 2011 (73 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Putnam Investment Management, LLCleft Feb 12, 2009, registered Mar 18, 2009 (34 days) · Other
- Comerica Securities to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 21, 2005, registered Mar 11, 2005 (-10 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address