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.

Advisor moves

Departures from New York Life Investment Management LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Kevin Michael Moore	New York Life Investment Management LLC asset manager	Grayscale Advisors asset manager	Other	May 26, 2026	Jun 10, 2026
Madalena Lala	New York Life Investment Management LLC asset manager	Grayscale Advisors asset manager	Other	Sep 22, 2025	Sep 26, 2025
Amanda Schrama	New York Life Investment Management LLC asset manager	Wells Fargo Advisors wirehouse	Other	Sep 15, 2025	Dec 22, 2025 (98 d)
Johnson Asase Jr	New York Life Investment Management LLC asset manager	Guggenheim Investments asset manager	Other	Jul 28, 2025	Apr 8, 2026 (254 d)
Ricot Chancy	New York Life Investment Management LLC asset manager	UBS Financial Services Inc. wirehouse	Other	Jul 28, 2025	Apr 14, 2026 (260 d)
Matthew Godelman	New York Life Investment Management LLC asset manager	Catalyst Capital Advisors LLC asset manager	Other	Jul 28, 2025	Sep 28, 2025 (62 d)
Carmen Hui	New York Life Investment Management LLC asset manager	Invesco Advisers, Inc. asset manager	Other	Apr 2, 2025	Apr 7, 2025
Anthony Marco Gaudiosi	New York Life Investment Management LLC asset manager	Caz Investments L.P. asset manager	Other	Dec 2, 2024	Jan 9, 2025 (38 d)
Ralph Michael Studley	New York Life Investment Management LLC asset manager	Concentric independent RIA	Other	Nov 4, 2024	Dec 10, 2024 (36 d)
Joseph Ronan	New York Life Investment Management LLC asset manager	LPL Financial LLC BD affiliated	Other	Aug 19, 2024	Aug 21, 2024
Aerin Kalmans	New York Life Investment Management LLC asset manager	Morgan Stanley wirehouse	Other	Aug 19, 2024	Sep 24, 2024 (36 d)
Ashley Mullen	New York Life Investment Management LLC asset manager	Invesco Advisers, Inc. asset manager	Other	Dec 21, 2023	Jan 8, 2024
Michael Paul Warren	New York Life Investment Management LLC asset manager	Proshare Advisors LLC asset manager	Other	Nov 6, 2023	Jan 10, 2024 (65 d)
Michael Platt	New York Life Investment Management LLC asset manager	Invesco Advisers, Inc. asset manager	Other	Oct 30, 2023	Nov 29, 2023
Mark Andrew Barausky	New York Life Investment Management LLC asset manager	Advisors Asset Management, Inc. other	Other	Oct 2, 2023	Oct 24, 2023
Ross A Lang	New York Life Investment Management LLC asset manager	T. Rowe Price Associates, Inc. asset manager	Other	Oct 2, 2023	Nov 25, 2025 (785 d)
Christian Apolinar Caballero	New York Life Investment Management LLC asset manager	Eagle Strategies LLC BD affiliated	Other	Oct 2, 2023	Aug 12, 2025 (680 d)
Scott Henry Howe	New York Life Investment Management LLC asset manager	Mariner BD affiliated	Other	Jan 11, 2023	Sep 10, 2024 (608 d)
Joshua Daniel Fiedler	New York Life Investment Management LLC asset manager	Allspring Funds Management, LLC asset manager	Other	Sep 12, 2022	Oct 12, 2022
Michael Difalco	New York Life Investment Management LLC asset manager	Citigroup Global Markets Inc. BD affiliated	Other	Aug 18, 2022	Aug 29, 2022
Dixie Thornton Green	New York Life Investment Management LLC asset manager	Voya Investment Management Co. LLC asset manager	Other	May 13, 2022	Feb 9, 2026 (1368 d)
Shane Murphy	New York Life Investment Management LLC asset manager	UBS Financial Services Inc. wirehouse	Other	May 2, 2022	May 13, 2022
Michael Bordes	New York Life Investment Management LLC asset manager	Dimensional Fund Advisors LP asset manager	Other	Mar 18, 2022	Jun 11, 2025 (1181 d)
David Charles Glabicki	New York Life Investment Management LLC asset manager	Columbia Management Investment Advisers, LLC asset manager	Other	Feb 28, 2022	Mar 3, 2022
Adam Spencer Diton	New York Life Investment Management LLC asset manager	The Wealth Alliance, LLC independent RIA	Other	Jan 27, 2022	Jun 8, 2022 (132 d)
John Joseph Gavin III	New York Life Investment Management LLC asset manager	Fisher Investments independent RIA	Other	Jan 6, 2022	Jan 11, 2022
James P Mitchel	New York Life Investment Management LLC asset manager	Fisher Investments independent RIA	Other	Sep 17, 2021	Apr 15, 2026 (1671 d)
Scott Alan Stanley	New York Life Investment Management LLC asset manager	Harbor Capital Advisors, Inc. asset manager	Other	Sep 7, 2021	Oct 28, 2022 (416 d)
Frederick Charles Pickard	New York Life Investment Management LLC asset manager	Nuveen Asset Management, LLC other	Other	Sep 1, 2021	Oct 18, 2021 (47 d)
Andrew Olatunde Oladipo	New York Life Investment Management LLC asset manager	T. Rowe Price Associates, Inc. asset manager	Other	Aug 10, 2021	Nov 4, 2021 (86 d)
Christopher Gordon Eisser	New York Life Investment Management LLC asset manager	Vestwell Advisors LLC institutional	Other	Oct 12, 2020	Oct 4, 2022 (722 d)
Matthew Brown	New York Life Investment Management LLC asset manager	Pnc Wealth Management BD affiliated	Other	Oct 1, 2020	Mar 24, 2021 (174 d)
Brandon Yin-Ting Leung	New York Life Investment Management LLC asset manager	Fidelity Personal And Workplace Advisors BD affiliated	Other	Sep 29, 2020	Aug 17, 2021 (322 d)
Dylan Max Pfeffer	New York Life Investment Management LLC asset manager	Ameriprise Financial Services, LLC national BD	Other	Sep 17, 2020	Sep 10, 2020
Annmarie Woods	New York Life Investment Management LLC asset manager	Guggenheim Investments asset manager	Other	Aug 11, 2020	Sep 4, 2020
Alexis Zeleznik Stecker Ablezer	New York Life Investment Management LLC asset manager	Eagle Strategies LLC BD affiliated	Other	May 7, 2020	Apr 23, 2025 (1812 d)
Natalie Delores Wright	New York Life Investment Management LLC asset manager	Capital Client Group, Inc. no RAUM	Other	Mar 27, 2020	Apr 23, 2020
Jason James Morski	New York Life Investment Management LLC asset manager	Mfs Institutional Advisors Inc. other	Other	Jan 28, 2020	Jul 21, 2020 (175 d)
Alexander Thomas Sotiriou	New York Life Investment Management LLC asset manager	Capital Client Group, Inc. no RAUM	Other	Jan 22, 2020	Feb 7, 2020
Jerome Stuart Hunter	New York Life Investment Management LLC asset manager	T. Rowe Price Associates, Inc. asset manager	Other	Nov 19, 2019	Aug 27, 2020 (282 d)
Patrick Gerard Schultz	New York Life Investment Management LLC asset manager	Dominguez Wealth Management Solutions, Inc. independent RIA	Other	Sep 4, 2019	Oct 23, 2019 (49 d)
Matthew Kochen	New York Life Investment Management LLC asset manager	Ssn Advisory, Inc. BD affiliated	Other	Aug 12, 2019	Sep 6, 2019
Kevin Kloski	New York Life Investment Management LLC asset manager	Alliancebernstein L.P. other	Other	Jul 10, 2019	Aug 16, 2019 (37 d)
David I Friedman	New York Life Investment Management LLC asset manager	Westwood Management Corp other	Other	Jul 8, 2019	Aug 5, 2019
Stuart Lawrence Goss	New York Life Investment Management LLC asset manager	First Horizon Advisors, Inc mixed wealth	Other	Jul 1, 2019	Jul 5, 2019
William Scott Klein	New York Life Investment Management LLC asset manager	Fidelity Personal And Workplace Advisors BD affiliated	Other	May 13, 2019	Nov 24, 2021 (926 d)
Derek Edward Fecteau	New York Life Investment Management LLC asset manager	Columbia Management Investment Advisers, LLC asset manager	Other	Aug 20, 2018	Aug 29, 2018
Mary H Millitzer	New York Life Investment Management LLC asset manager	Eagle Strategies LLC BD affiliated	Other	Aug 8, 2018	Aug 23, 2019 (380 d)
Eric Borsoni	New York Life Investment Management LLC asset manager	Ameriprise Financial Services, LLC national BD	Other	Jul 25, 2018	Nov 7, 2018 (105 d)
Harvey Patrick Steele	New York Life Investment Management LLC asset manager	Westwood Management Corp other	Other	Jun 15, 2018	Jan 9, 2019 (208 d)
Elliott Cobb	New York Life Investment Management LLC asset manager	Nationwide Investment Advisors, LLC BD affiliated	Other	May 29, 2018	Dec 2, 2023 (2013 d)
Daniel Carl Minnis	New York Life Investment Management LLC asset manager	Charles Schwab & Co., Inc. national BD	Other	May 21, 2018	Jul 27, 2018 (67 d)
Maya Gorokhovskiy	New York Life Investment Management LLC other	Mdt Advisers, A Division Of Federated Mdta LLC asset manager	Other	Mar 14, 2018	Apr 3, 2018
Keith P Schmidt	New York Life Investment Management LLC other	Hartford Funds asset manager	Other	Mar 14, 2018	Apr 6, 2018
Joseph Anthony Simmons	New York Life Investment Management LLC other	Stancorp Investment Advisers, Inc. other	Other	Mar 12, 2018	Feb 4, 2019 (329 d)
Eric Matthew Halpern	New York Life Investment Management LLC other	Eagle Strategies LLC BD affiliated	Other	Jan 23, 2018	Aug 3, 2021 (1288 d)
Stephen Mangiacotti	New York Life Investment Management LLC other	J.P. Morgan Securities LLC wirehouse	Other	Jul 5, 2017	Jun 28, 2017
Douglas Paul Dhom	New York Life Investment Management LLC other	Charles Schwab & Co., Inc. national BD	Other	Jun 7, 2017	Jun 19, 2018 (377 d)
Patrick Francis Donadio	New York Life Investment Management LLC other	First Trust Advisors LP other	Other	Jun 7, 2017	Jun 20, 2017
Gian Landy Paolella	New York Life Investment Management LLC other	Raymond James Financial Services Advisors, Inc BD affiliated	Other	May 12, 2017	Jun 7, 2018 (391 d)

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168 moves match.