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
Hunter William Steadley	New York Life Investment Management LLC other	Personal Capital Advisors Corporation other	Other	Feb 23, 2017	Mar 8, 2017
Gregory Sterzel	New York Life Investment Management LLC other	Federated Securities Corp. no RAUM	Other	Jan 9, 2017	Sep 28, 2018 (627 d)
Sean Emmet Breen	New York Life Investment Management LLC other	Ameriprise Financial Services, LLC national BD	Other	Nov 16, 2016	Feb 15, 2017 (91 d)
Thomas Tom Lee	New York Life Investment Management LLC other	J.P. Morgan Securities LLC wirehouse	Other	Nov 2, 2016	Dec 8, 2017 (401 d)
Bryan Gregory Sandvig	New York Life Investment Management LLC other	Parametric Portfolio Associates other	Other	Sep 6, 2016	Nov 17, 2017 (437 d)
Christopher Foster	New York Life Investment Management LLC other	J.P. Morgan Securities LLC wirehouse	Other	Jul 26, 2016	Aug 22, 2016
Stephen Caplan	New York Life Investment Management LLC other	Commonwealth Financial Network national BD	Other	Jul 12, 2016	Sep 2, 2016 (52 d)
Michael Devin Sutter	New York Life Investment Management LLC other	Columbia Management Investment Advisers, LLC other	Other	Jul 5, 2016	Jan 17, 2017 (196 d)
Eric Henry Reese	New York Life Investment Management LLC other	Blackrock Investment Management, LLC other	Other	Jul 5, 2016	May 10, 2017 (309 d)
Steven Justin Cohen	New York Life Investment Management LLC other	Pgim Investments LLC other	Other	Mar 29, 2016	Apr 13, 2016
Alexander Gordon Ward	New York Life Investment Management LLC other	Sierra Investment Management, LLC other	Other	Feb 9, 2016	May 11, 2016 (92 d)
Matthew Ross Shack	New York Life Investment Management LLC other	Voya Financial Advisors, Inc. other	Other	Jan 14, 2016	Jan 11, 2018 (728 d)
Sean Matthew Jeffers	New York Life Investment Management LLC other	Neuberger Berman Bd LLC no RAUM	Other	Nov 2, 2015	Jun 22, 2020 (1694 d)
Kevin Joseph Gray	New York Life Investment Management LLC other	Swan Global Investments, LLC other	Other	Sep 23, 2015	Oct 21, 2015
William Francis Phillips III	New York Life Investment Management LLC other	Sierra Investment Management, LLC other	Other	Sep 3, 2015	Oct 7, 2015 (34 d)
David Scott Hescheles	New York Life Investment Management LLC other	Hartford Funds other	Other	Jul 7, 2015	Oct 12, 2015 (97 d)
Judson Collins Redmond	New York Life Investment Management LLC other	RBC Capital Markets, LLC national BD	Other	May 26, 2015	Nov 25, 2025 (3836 d)
Dale Robert Powers	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 30, 2015
Jason Robert Friday	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 29, 2015
Michael Mccann	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 29, 2015
Meredith Rae Kitson	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 15, 2015
David Allen Ramirez	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 14, 2015
Robert H Lamb	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 29, 2015
Stephanie Rae Flynn-Schofield	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 29, 2015
Anca Garcia	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 30, 2015
Jeffrey Daniel Fernandes	New York Life Investment Management LLC other	Signator Investors, Inc. other	Other	Apr 15, 2015	Apr 29, 2015
Lauren Claire Ip	New York Life Investment Management LLC other	Eagle Strategies LLC BD affiliated	Other	Apr 13, 2015	Jul 6, 2018 (1180 d)
Carrie Kirk Schroen	New York Life Investment Management LLC other	Blackrock Investment Management, LLC other	Other	Feb 13, 2015	Mar 18, 2015 (33 d)
Jennifer Marie Round	New York Life Investment Management LLC other	Neuberger Berman Bd LLC other	Other	Dec 16, 2014	Aug 30, 2016 (623 d)
Michael S Wisman	New York Life Investment Management LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 4, 2014	Jan 8, 2015 (35 d)
Kaitlin Martinez	New York Life Investment Management LLC other	Hsbc Securities (USA) Inc. other	Other	Dec 1, 2014	Jan 6, 2015 (36 d)
John Michael Braun	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Nov 24, 2014	Nov 28, 2014
Jason Grant Buck	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Sep 29, 2014	Sep 29, 2014
Robert Dewees	New York Life Investment Management LLC other	Wells Fargo Advisors wirehouse	Other	Aug 12, 2014	Jan 1, 2024 (3429 d)
Jamie M Laboska	New York Life Investment Management LLC other	Eagle Strategies LLC BD affiliated	Other	Jul 28, 2014	Aug 3, 2021 (2563 d)
John Batista Pannozzo	New York Life Investment Management LLC other	Columbia Management Investment Advisers, LLC other	Other	Jun 2, 2014	Jun 6, 2014
Alison Gourd Cosgrove	New York Life Investment Management LLC other	Bradley Foster & Sargent Inc independent RIA	Other	Apr 10, 2014	Feb 10, 2026 (4324 d)
Robert Anthony Martin	New York Life Investment Management LLC other	Santander Securities other	Other	Apr 4, 2014	Oct 7, 2014 (186 d)
Alexander Marashlian	New York Life Investment Management LLC other	Morgan Stanley Investment Management Inc. other	Other	Mar 14, 2014	Aug 28, 2014 (167 d)
Christina Marie Generoso	New York Life Investment Management LLC other	Morgan Stanley wirehouse	Other	Feb 18, 2014	Nov 10, 2015 (630 d)
Michael R Zunino	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Dec 23, 2013	Dec 12, 2013
Jered Stephen Seibert	New York Life Investment Management LLC other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Dec 16, 2013	May 12, 2023 (3434 d)
Jeffrey Michael Findling	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 15, 2013	Jan 21, 2010
Michael P Downey	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 15, 2013	Jan 20, 2010
Stephanie Lee Krug	New York Life Investment Management LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Feb 26, 2013	Jun 29, 2023 (3775 d)
Steven Michael Murray	New York Life Investment Management LLC other	Waddell & Reed other	Other	Nov 26, 2012	Nov 12, 2013 (351 d)
John F. Scott Santaguida	New York Life Investment Management LLC other	Mcmorgan & Company LLC other	Other	Oct 3, 2012	Oct 12, 2012
Henry Asemota	New York Life Investment Management LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 9, 2012	May 22, 2013 (317 d)
Michael Thomas Miller	New York Life Investment Management LLC other	Invesco Advisers, Inc. other	Other	Dec 5, 2011	Jul 14, 2014 (952 d)
Ellen Peloquin	New York Life Investment Management LLC other	Osaic Fa, Inc. other	Other	Dec 1, 2011	Apr 11, 2012 (132 d)
Joseph Gerard Mcquaid	New York Life Investment Management LLC other	LPL Financial LLC other	Other	May 2, 2011	Jul 14, 2011 (73 d)
Jason Scott Alicea	New York Life Investment Management LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 4, 2011	May 28, 2019 (3007 d)
Thomas John Flynn	New York Life Investment Management LLC other	Russell Investments other	Other	Jan 13, 2011	Jan 10, 2011
Antonia Anna Roig	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Dec 17, 2010	Dec 17, 2010
Linda Jean Cooper	New York Life Investment Management LLC other	Edelman Financial Engines mixed wealth	Other	Dec 17, 2010	May 19, 2022 (4171 d)
Robert Emmet Coyne	New York Life Investment Management LLC other	Guggenheim Investments other	Other	Nov 12, 2010	Mar 4, 2014 (1208 d)
Ronald Seegers	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 7, 2010	Oct 7, 2010
Rajesh Roodal Singh	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 7, 2010	Oct 7, 2010
David I Friedman	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 7, 2010	Oct 7, 2010
Diane Wesbecher	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 6, 2010	Oct 6, 2010

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168 moves match.