Investment adviser · CRD 109591

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2026

Regulatory AUM: $121B
Client accounts: 939
Employees: 364
Advisory professionals: 18

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	105	$116,175,031,663	96.3%
Corporations & businesses	18	$1,407,042,460	1.2%
Pooled investment vehicles	2	$1,141,605,103	0.9%
Insurance companies	Fewer than 5	$1,023,977,809	0.8%
Individuals	808	$572,863,507	0.5%
Retirement plans	Fewer than 5	$292,506,696	0.2%
Sovereign wealth & foreign institutions	Fewer than 5	$57,764,681	0.0%
Charities	Fewer than 5	$27,101,109	0.0%

Filing source

Form ADV 2061954 · Mar 30, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

15 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

NYLIM FLATIRON CLO 2006-1 LTD.Securitized Asset Fund · Last reported Apr 30, 2014$547MGross asset value

Fund administrator BNY MELLON TRUST COMPANY, N.A., GLOBAL CORPORATE TRUST - CDO GROUP HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian BNY MELLON TRUST COMPANY NA GLOBAL CORPORATE TRUST - CDO GROUP, HOUSTON, Texas, United States Related to adviser: No

Marketer CITIGROUP NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

Fund details & source

Fund ID: 805-4594242331
Reported beneficial owners: 12
Minimum commitment: $500K

Form ADV 821626 · Apr 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPERATE ACCOUNT - PORTFOLIO IOther Private Fund · Last reported Apr 3, 2014$489MGross asset value

Custodian JPMORGAN CHASE BANK NA NEW YORK, New York, United States Related to adviser: No

Marketer CLARK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Marketer NYLIFE SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Marketer SCHOENKE & ASSOCIATES SECURITIES CORP NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

Fund details & source

Fund ID: 805-3358470443
Reported beneficial owners: 1
Minimum commitment: $100M
Form D file number: 021-72713

Form ADV 815004 · Apr 3, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FLATIRON CLO 2013-I LTDSecuritized Asset Fund · Last reported Apr 30, 2014$410MGross asset value

Fund administrator BNY MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian BNY MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No

Marketer BANK OF AMERICA MERRILL LYNCH NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

Fund details & source

Fund ID: 805-2948397248
Reported beneficial owners: 15
Minimum commitment: $250K

Form ADV 821626 · Apr 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FLATIRON CLO 2012-1 LTDSecuritized Asset Fund · Last reported Apr 30, 2014$406MGross asset value

Fund administrator DEUTSCHE BANK SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK SANTA ANA, California, United States Related to adviser: No

Marketer MORGAN STANLEY NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

Fund details & source

Fund ID: 805-1646912142
Reported beneficial owners: 18
Minimum commitment: $250K

Form ADV 821626 · Apr 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NYLIAC INSTITUTIONALLY OWNED LIFE INSURANCE SEPERATE ACCOUNT - PORTFOLIO IIOther Private Fund · Last reported Apr 3, 2014$394MGross asset value

Custodian JPMORGAN CHASE BANK NA NEW YORK, New York, United States Related to adviser: No

Marketer CLARK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Marketer NYLIFE SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Marketer SCHOENKE & ASSOCIATES SECURITIES CORP NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

Fund details & source

Fund ID: 805-3641343815
Reported beneficial owners: 1
Minimum commitment: $100M
Form D file number: 021-72713

Form ADV 815004 · Apr 3, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NYLIM FLATIRON 2011-1 LTD.Securitized Asset Fund · Last reported Apr 30, 2014$356MGross asset value

Fund administrator DEUTSCHE BANK - STRUCTURED CREDIT SERVICES, STRUCTURED FINANCE SERVICES SANTA ANNA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK - STRUCTURED CREDIT SERVICES, STRUCTURED FINANCE SERVICES SANTA ANNA, California, United States Related to adviser: No

Marketer MORGAN STANLEY NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

Fund details & source

Fund ID: 805-7164876765
Reported beneficial owners: 11
Minimum commitment: $500K

Form ADV 821626 · Apr 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NYLIM FLATIRON 2007-1 LTD.Securitized Asset Fund · Last reported Apr 30, 2014$341MGross asset value

Custodian DEUTSCHE BANK - STRUCTURED CREDIT SERVICES, STRUCTURED FINANCE SERVICES SANTA ANNA, California, United States Related to adviser: No

Marketer MORGAN STANLEY NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

Fund details & source

Fund ID: 805-4128223113
Reported beneficial owners: 12
Minimum commitment: $100K

Form ADV 821626 · Apr 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 30, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Fixed

Principal office

51 MADISON AVENUE
NEW YORK, NY, 10010, United States

CRD 109591

Filing source

Form ADV 2061954 · Mar 30, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.