New York Life Investment Management LLC
Registered investment adviser · New York, NY · CRD #109591
Form ADV data as of 2026-09-01Regulatory assets
$120.70 billion
Total accounts
939
Employees
364
Disclosure events
12
Firm details
- Website: https://www.linkedin.com/company/nylim
- Telephone: 888-474-7725
- SEC file number: 801-57396
- Most recent Form ADV filing: 2026-03-30
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 12 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $118.63 billion |
| Non-discretionary regulatory assets under management | $2.07 billion |
| Total regulatory assets under management | $120.70 billion |
| Discretionary accounts | 928 |
| Non-discretionary accounts | 11 |
| Total accounts | 939 |
| Regulatory assets under management attributable to non-U.S. persons | $926.9 million |
People
| Total employees (excluding clerical) | 364 |
| Employees performing investment advisory functions (including research) | 18 |
| Employees who are registered representatives of a broker-dealer | 192 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 808 | $572.9 million |
| Investment companies | 105 | $116.18 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 2 | $1.14 billion |
| Pension and profit sharing plans (not the participants or government plans) | Not reported | $292.5 million |
| Charitable organizations | Not reported | $27.1 million |
| Insurance companies | Not reported | $1.02 billion |
| Sovereign wealth funds and foreign official institutions | Not reported | $57.8 million |
| Corporations or other businesses not listed above | 18 | $1.41 billion |