Hedge Fund Database

NYL INVESTORS LLC

Adviser information for NYL INVESTORS LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 312
Investment Advisory/Research 190
Registered Broker-Dealer Representatives 18
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 109 $300.0B
Non-Discretionary 3 $886.0M
Total 112 $300.9B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 11 $6.5B
Business development companies 0 $0
Pooled investment vehicles 13 $4.1B
Pension and profit sharing plans 0 $0
Charitable organizations <5 $57.1M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 15 $289.7B
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $25.3M
Other <5 $423.6M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 45
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed feesPerformance-based feesORIGINATION FEES OF REAL ESTATE LOANS/ PRIVATE PLACEMENT DEALS
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-78759
SEC ERA File Number 801-78759
SEC CIK Numbers 1606720
SEC CRD Numbers 169553
Legal Entity Identifier 5493000EG09WOQURS721

Principal Office

51 MADISON AVENUE
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M - 5:00 P.M.
Tel: 212-576-7000, Fax: None

Websites

www.newyorklifeinvestments.com/who-we-are/our-global-boutiques/nyl-investors

Chief Compliance Officer

ALPESH RATHOD
CHIEF COMPLIANCE OFFICER
51 MADISON AVENUE
2ND FLOOR
NEW YORK
NY
United States
Tel: 212 576-7956
(Full email address available in API data)

Regulatory Contact

PAUL VENGROW
51 MADISON AVE
2ND FLOOR
NEW YORK
NY
United States
Tel: 2125767833
(Full email address available in API data)

Industry Affiliates

APOGEM CAPITAL LLC Other investment adviser, including financial planners
AUSBIL INVESTMENT MANAGEMENT LIMITED Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
BOW RIVER ADVISERS, LLC Other investment adviser, including financial planners
CANDRIAM S.C.A. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
EAGLE STRATEGIES LLC Other investment adviser, including financial planners
FLATIRON RR LLC, MANAGER SERIES Other investment adviser, including financial planners
INDEXIQ ADVISORS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
KARTESIA MANAGEMENT S.A. Other investment adviser, including financial planners
LIFE INSURANCE COMPANY OF NORTH AMERICA Insurance company or agency
MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED Other investment adviser, including financial planners
MACKAY SHIELDS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles
MACKAY SHIELDS UK LLP Other investment adviser, including financial planners
MSSDF GP LLC Sponsor, GP, manager of pooled investment vehicles
MSVEF GP LLC Sponsor, GP, manager of pooled investment vehicles
NEW YORK LIFE ENTERPRISES LLC Insurance company or agency
NEW YORK LIFE GROUP INSURANCE COMPANY OF NY Insurance company or agency
NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION Commodity pool operator or commodity trading advisorInsurance company or agency
NEW YORK LIFE INSURANCE COMPANY Commodity pool operator or commodity trading advisorInsurance company or agency
NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED Other investment adviser, including financial planners
NEW YORK LIFE INVESTMENT MANAGEMENT LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
NYL INVESTORS NCVAD II GP, LLC Sponsor, GP, manager of pooled investment vehicles
NYLIC HKP MEMBER LLC Sponsor, GP, manager of pooled investment vehicles
NYLIFE DISTRIBUTORS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
NYLIFE INSURANCE COMPANY ARIZONA Insurance company or agency
NYLIFE OFFICE HOLDINGS MEMBER LLC Sponsor, GP, manager of pooled investment vehicles
NYLIFE SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
NYLINK INSURANCE AGENCY INC. Insurance company or agency
SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. Insurance company or agency
TRISTAN CAPITAL PARTNERS Other investment adviser, including financial planners
TRUST COMPANY Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
FLATIRON CLO 17 LTD Securitized Asset Fund $284.0M $0.3M 2
FLATIRON CLO 18 LTD Securitized Asset Fund $448.5M $0.3M 2
FLATIRON CLO 19 LTD Securitized Asset Fund $399.5M $0.3M 1
FLATIRON CLO 20 LTD Securitized Asset Fund $400.1M $0.1M 2
FLATIRON CLO 21 LTD Securitized Asset Fund $499.6M $0.3M 4
FLATIRON CLO 23 LLC Securitized Asset Fund $400.3M $0.3M 1
FLATIRON CLO 24 LTD Securitized Asset Fund $400.0M $0.3M 2
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO I PRIVATE FUND-INSURANCE PRODUCT $561.9M $0.1M 1
NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT - PORTFOLIO II OTHER PRIVATE FUND-INSURANCE PRODUCT $473.1M $0.1M 1
NYLIAC PPVUL SEPARATE ACCOUNT 70 PRIVATE FUND-INSURANCE PRODUCT $196.5M $0.3M 1
NYLIAC PPVUL SEPARATE ACCOUNT IX INSURANCE PRODUCT $31.2M $0.3M 1
NYLIAC PPVUL SEPARATE ACCOUNT XIX INSURANCE PRODUCT $30.1M $0.3M 1
NYLIAC SEPERATE ACCOUNT 15 INSURANCE PRODUCT $96.1M $0.3M 1
NYLIM STRATFORD CDO 2001-1 LTD. Securitized Asset Fund $11.8M $0.1M 12
TCI-FLATIRON CLO 2016-1 LTD. Securitized Asset Fund $336.3M $0.3M 1
TCI-FLATIRON CLO 2017-1 LTD. Securitized Asset Fund $395.2M $0.3M 2
TCI-FLATIRON CLO 2018-1 LTD Securitized Asset Fund $500.0M $0.3M 1

Control Persons

Name Type Entity Title Since Ownership
NEW YORK LIFE INSURANCE COMPANY Domestic Entity – SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER 10/2013 > 75%
MALLOY, ANTHONY, RAMSEY Individual – CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGER, AND CHAIRMAN OF COMPENSATION COMMITTEE 01/2014 < 5%
TALGO, MARK, WILLIAM Individual – MANAGER AND SENIOR MANAGING DIRECTOR 01/2014 < 5%
NAIR, DINESH, KARUTHEDATH Individual – MANAGER, MEMBER OF COMPENSATION COMMITTEE, MANAGING DIRECTOR AND CFO 07/2014 < 5%
RATHOD, ALPESH, JASVANT Individual – VP & CHIEF COMPLIANCE OFFICER 09/2017 < 5%
SABAL, CRAIG, ANDREW Individual – MANAGER AND SENIOR MANAGING DIRECTOR 12/2020 < 5%
COONEY, COLLEEN, CLARE Individual – MANAGER AND SENIOR MANAGING DIRECTOR 03/2021 < 5%
CRONIN, MAUREEN, ANNE Individual – SVP, GENERAL COUNSEL, & ASSISTANT SECRETARY 01/2023 < 5%

No. Employees, Historic

40020002019202020212022202320242025300 on 5/6/2019307 on 3/30/2020307 on 4/28/2020301 on 3/31/2021297 on 3/31/2022297 on 5/9/2022307 on 3/30/2023307 on 5/11/2023307 on 7/5/2023312 on 3/28/2024

RAUM, Historic

400B200B02019202020212022202320242025243668399914 on 5/6/2019253871757678 on 3/30/2020253871757678 on 4/28/2020268952440050 on 3/31/2021277176221883 on 3/31/2022277176221883 on 5/9/2022291885443528 on 3/30/2023291885443528 on 5/11/2023291885443528 on 7/5/2023300897738311 on 3/28/2024

No. Clients, Historic

40200201920202021202220232024202532 on 5/6/201935 on 3/30/202035 on 4/28/202038 on 3/31/202138 on 3/31/202238 on 5/9/202237 on 3/30/202337 on 5/11/202337 on 7/5/202339 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
BATTALION OIL CORP COM 2K 588 –
BRISTOW GROUP INC COM 2M 64K –
CHESAPEAKE ENERGY CORPORATION *W EXP 02/09/202 4M 52K –
CHESAPEAKE ENERGY CORPORATION *W EXP 02/09/202 4M 58K –
CHESAPEAKE ENERGY CORPORATION *W EXP 02/09/202 2M 32K –
CHESAPEAKE ENERGY CORPORATION COM 1M 17K –
CHORD ENERGY CORP COM NEW 14M 83K –
DIEBOLD NIXDORF INC COM SHS 766K 20K NEW YORK LIFE INVESTMENT MANAGEMENT LLC
DIEBOLD NIXDORF INC COM SHS 880K 23K –
EXXON MOBIL CORP COM 17M 145K –
FORUM ENERGY TECHNOLOGIE PIK NOTE 9.000% 8/0 30M 304K –
FORUM ENERGY TECHNOLOGIES INC COM 174K 10K –
ING SPDR BLOOMBERG BARCLAYS LONG TERM ET PORTFOLIO LN COR 32M 1M –
IQ CANDRIAM ESG INTERNATIONA CANDRIAM INTERNA 6M 193K –
ISHARES 10 YEAR INVEST GRADE CORP 10 YR INVST GRD 19M 370K –
ISHARES CORE INTL AGGREGATE BND ET CORE INTL AGGR 15M 304K –
ISHARES CORE S&P TOTAL U.S. STOCK CORE S&P TTL STK 4M 35K –
ISHARES CORE US AGGREGATE BOND ETF CORE US AGGBD ET 3M 34K –
ISHARES IBOXX H/Y CORP BOND IBOXX HI YD ETF 290M 4M –
ISHARES IBOXX INVESTMENT GRADE IBOXX INV CP ETF 6M 55K NEW YORK LIFE INVESTMENT MANAGEMENT LLC
ISHARES IBOXX INVESTMENT GRADE IBOXX INV CP ETF 829M 8M –
ISHARES MSCI ACWI ETF MSCI ACWI ETF 10M 86K –
ISHARES MSCI TOTAL INTL STOCK ETF CORE MSCI TOTAL 14M 207K –
ISHARES SHORT TERM CORPORATE ETF ISHS 1-5YR INVS 3M 50K NEW YORK LIFE INVESTMENT MANAGEMENT LLC
ISHARES SHORT TERM CORPORATE ETF ISHS 1-5YR INVS 3M 54K –
PATTERSON UTI ENERGY COM COM 1M 111K –
SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 3M 72K –
SCHWAB US BROAD MARKET ETF US BRD MKT ETF 4M 66K –
SPDR PORTFOLIO AGGREGATE BOND ETF PORTFOLIO AGRGTE 3M 130K –
THE INTERPUBLIC GROUP OF COMPANIES COM 221K 8K –
VANGUARD FTSE ALL-WORLD EX-US INDE ALLWRLD EX US 3M 47K –
VANGUARD INTERMEDIATE TERM CORPORA INT-TERM CORP 9M 117K –
VANGUARD LONG TERM BOND INDEX FUND LONG TERM BOND 9M 132K –
VANGUARD LONG TERM CORPORATE BOND LG-TERM COR BD 46M 605K –
VANGUARD TOTAL BOND MARKET INDEX F TOTAL BND MRKT 3M 45K –
VANGUARD TOTAL INTERNATIONAL BOND TOTAL INT BD ETF 4M 78K –
VANGUARD TOTAL WORLD STOCK INDEX F TT WRLD ST ETF 10M 86K –