NEW YORK LIFE INVESTMENT MANAGEMENT
Company Profile
| AUM* | 164,517,316,449 10% |
| of that, discretionary | 159,986,330,700 10% |
| Private Fund GAV* | 18,663,809,423 14% |
| Avg Account Size | 151,908,879 30% |
| High Net Worth | 0.09% 16% |
| SMA’s | Yes |
| Private Funds | 151 27 |
Adviser Type
- An investment adviser (or subadviser) to an investment company
Number of Employees 623 3%
of those in investment advisory functions 145 7%
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Insurance companies
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
Advisory Activities
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers
Compensation Arrangments
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Disclosure Reporting
| 11.C(1) | SEC/CFTC found false statement |
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
| 11.D(2) | Other regulator found violation |
| 11.D(4) | Other regulator order (past 10 yrs) |
| 11.H(1)(b) | Court found investment-related violation |
Recent News
Reported AUM
Private Funds
Employees
Private Funds Structure
| SEC Fund Type | Count | GAV |
|---|---|---|
| SEC Fund TypeHedge Fund | Count1 | GAV$280,511,076 |
| SEC Fund TypePrivate Equity Fund | Count132 | GAV$14,416,606,128 |
| SEC Fund TypeSecuritized Asset Fund | Count14 | GAV$3,867,349,770 |
| SEC Fund TypeOther Private Fund | Count4 | GAV$99,342,449 |