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
Diane Wesbecher	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 6, 2010	Oct 6, 2010
Andrew William Capaccio	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 6, 2010	Oct 6, 2010
Stephen Christopher Fiacco	New York Life Investment Management LLC other	Wells Fargo Advisors wirehouse	Other	Aug 31, 2010	Jul 19, 2023 (4705 d)
Brian Martin Fornuto	New York Life Investment Management LLC other	Raymond James & Associates, Inc. national BD	Other	Aug 17, 2010	Nov 15, 2021 (4108 d)
Russell Gerard Rabadeau	New York Life Investment Management LLC other	Wells Fargo Advisors wirehouse	Other	Jul 20, 2010	Jul 29, 2010
Matthew Edward Neill	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Jul 7, 2010	Jul 7, 2010
Elliott Ross Miller	New York Life Investment Management LLC other	Fulcrum Advisory Services, LLC other	Other	Feb 12, 2010	May 21, 2010 (98 d)
Thomas Andrew Lucash	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Jan 13, 2010	Jan 13, 2010
Christopher Vito Parisi	New York Life Investment Management LLC other	Guggenheim Investments other	Other	Jan 6, 2010	Mar 4, 2014 (1518 d)
Francis Jacobs	New York Life Investment Management LLC other	Bancwest Investment Services, Inc. (Bwis) other	Other	Nov 19, 2009	Apr 29, 2016 (2353 d)
Kurt Mihelich	New York Life Investment Management LLC other	Coordinated Capital Securities, Inc. other	Other	Nov 4, 2009	Feb 24, 2010 (112 d)
David Yates	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	May 13, 2009	Sep 18, 2009 (128 d)
Sebastian Matthew Zacharias	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	May 13, 2009	Jun 24, 2009 (42 d)
Bryan John Topelsohn	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	May 13, 2009	Jun 17, 2009 (35 d)
Matthew Neal Silver	New York Life Investment Management LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 30, 2009	Jul 19, 2010 (476 d)
Alicia Rose Fryc	New York Life Investment Management LLC other	Symmetry Partners other	Other	Jul 28, 2008	Jan 10, 2013 (1627 d)
Timothy Ryan Hall	New York Life Investment Management LLC other	Msi Financial Services, Inc. other	Other	Jul 16, 2008	Jan 24, 2014 (2018 d)
Ryan John Carroll	New York Life Investment Management LLC other	Principal Asset Management other	Other	May 27, 2008	Dec 21, 2021 (4956 d)
David Russell Lamb	New York Life Investment Management LLC other	Lockton Investment Advisors, LLC no RAUM	Other	Apr 15, 2008	May 28, 2008 (43 d)
Robert Lawrence Pancrazi	New York Life Investment Management LLC other	Voya Investment Management Co. LLC other	Other	Mar 18, 2008	Apr 4, 2008
Kathryn Elise Albers	New York Life Investment Management LLC other	LPL Financial LLC independent RIA	Other	Oct 1, 2007	Oct 28, 2022 (5506 d)
Daniel Odonnell	New York Life Investment Management LLC other	Voya Investment Management Co. LLC other	Other	Aug 10, 2007	Jan 23, 2008 (166 d)
Sebastian Matthew Zacharias	New York Life Investment Management LLC other	Ast Investment Services, Inc. other	Other	Aug 8, 2007	Sep 18, 2007 (41 d)
Cheryl L. Casey	New York Life Investment Management LLC other	Bny Mellon Securities Corporation other	Other	Aug 7, 2007	Aug 7, 2007
Michael Lawrence Storer	New York Life Investment Management LLC other	Symmetry Partners other	Other	Jul 30, 2007	Jan 7, 2008 (161 d)
Elizabeth Cicolello Messina	New York Life Investment Management LLC other	Advice And Planning Services other	Other	Jul 23, 2007	Oct 3, 2007 (72 d)
Michael T Sheridan	New York Life Investment Management LLC other	Astor Asset Management LLC other	Other	Jul 18, 2007	Sep 6, 2012 (1877 d)
Brendan J. Mcdonald	New York Life Investment Management LLC other	Evergreen Investment Management Co unclassified	Other	Jun 13, 2007	May 18, 2009 (705 d)
Vincenzo Leto	New York Life Investment Management LLC other	Td Ameritrade, Inc. no RAUM	Other	May 18, 2007	May 30, 2007
Martha Romero Schuman	New York Life Investment Management LLC other	Bny Mellon Securities Corporation other	Other	May 16, 2007	Sep 25, 2008 (498 d)
Christopher Lewis Chandler	New York Life Investment Management LLC other	Tcw Investment Management Company LLC other	Other	Mar 19, 2007	Mar 14, 2008 (361 d)
Thomas Louis Grilli	New York Life Investment Management LLC other	Ameriprise Financial Services, LLC national BD	Other	Mar 19, 2007	May 27, 2022 (5548 d)
Frank Eugene Pavese	New York Life Investment Management LLC other	A. G. Edwards & Sons, Inc. unclassified	Other	Nov 10, 2006	Nov 20, 2006
Michael Mccann	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 27, 2006	Sep 26, 2007 (334 d)
Edward Wladyslaw Babula	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 26, 2006	Sep 26, 2007 (335 d)
Meredith Rae Kitson	New York Life Investment Management LLC other	Eagle Strategies LLC other	Other	Oct 26, 2006	Oct 29, 2007 (368 d)
Christopher Paul Prien	New York Life Investment Management LLC other	Thornburg Investment Management Inc other	Other	Feb 9, 2006	Feb 17, 2006
Gregory Hodges	New York Life Investment Management LLC other	Manning & Napier Advisors, LLC other	Other	Jan 17, 2006	Mar 30, 2015 (3359 d)
Robert Joseph Centrella	New York Life Investment Management LLC other	Forza Investment Advisory, LLC state registered	Other	Sep 28, 2005	Sep 3, 2026 (7645 d)
Caroline Baumgart	New York Life Investment Management LLC other	Mackay Shields LLC other	Other	Sep 28, 2005	Jan 31, 2006 (125 d)
Rene Arturo Bustamante	New York Life Investment Management LLC other	Mackay Shields LLC other	Other	Sep 28, 2005	Feb 7, 2006 (132 d)
Jeffrey Michael Findling	New York Life Investment Management LLC other	Suntrust Investment Services, Inc. other	Other	Jun 20, 2005	Jul 28, 2005 (38 d)
Lucie Hoai-Dung Mcgowan	New York Life Investment Management LLC other	Evergreen Investment Management Co unclassified	Other	May 3, 2005	Oct 16, 2009 (1627 d)
Alexander David Hayes	New York Life Investment Management LLC other	Putnam Investment Management, LLC other	Other	Oct 18, 2004	Jun 2, 2006 (592 d)
Salvatore Michael Capizzi	New York Life Investment Management LLC other	Dunham other	Other	Sep 24, 2004	Jan 16, 2008 (1209 d)
Timothy Michael Dalton	New York Life Investment Management LLC other	Saxony Capital Management, LLC other	Other	Sep 24, 2004	Aug 11, 2010 (2147 d)
Thomas Chad Atkins	New York Life Investment Management LLC other	Transamerica Investment Management, LLC unclassified	Other	Sep 14, 2004	Nov 2, 2007 (1144 d)
Peter James Mccarthy	New York Life Investment Management LLC other	Allianz Global Investors Managed Accounts LLC other	Other	Sep 3, 2003	Jun 8, 2006 (1009 d)
Michaeljohn Kudlik	New York Life Investment Management LLC other	Cambria Capital LLC independent RIA	Other	Jan 24, 2003	Dec 14, 2009 (2516 d)

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169 moves match.