Form D · Insurance
NEW YORK LIFE INSURANCE & ANNUITY CORP
New York, NY · CIK 0000727136
Offering snapshot reported Mar 11, 2026 · SEC filing
- Reported sold
- $505M Indefinite offering
- Investors reported
- 151 Form D · investor count
- Minimum accepted
- $250K Reported outside-investor minimum
- First sale
- Apr 17, 2002 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 11, 2026 | Initial | $505,329,837 | No comparison | 151 | SEC filing |
| Mar 11, 2026 | Initial | $1,837,269,784 | No comparison | 179 | SEC filing |
| Mar 11, 2026 | Initial | $2,016,462,443 | No comparison | 155 | SEC filing |
| Mar 11, 2026 | Initial | $3,033,110,297 | No comparison | 227 | SEC filing |
| Mar 11, 2026 | Initial | $545,593,981 | No comparison | 2 | SEC filing |
| Feb 3, 2026 | Initial | $1,702,641,383 | No comparison | 2 | SEC filing |
| Mar 12, 2025 | Amendment | $545,593,981 | $0vs Mar 13, 2023 | 2 | SEC filing |
| Mar 12, 2025 | Amendment | $2,362,250,139 | $1,312,602,715vs Mar 13, 2023 | 207 | SEC filing |
| Mar 12, 2025 | Amendment | $1,830,489,296 | $17,281,908vs Mar 13, 2023 | 179 | SEC filing |
| Mar 12, 2025 | Amendment | $1,991,085,527 | $86,246,068vs Mar 13, 2023 | 133 | SEC filing |
| Mar 12, 2025 | Amendment | $505,329,837 | $200,000vs Mar 13, 2023 | 151 | SEC filing |
| Mar 14, 2024 | Amendment | $545,593,981 | $0vs Mar 13, 2023 | 2 | SEC filing |
| Mar 14, 2024 | Amendment | $2,029,235,097 | $979,587,673vs Mar 13, 2023 | 170 | SEC filing |
| Mar 14, 2024 | Amendment | $1,826,709,576 | $13,502,188vs Mar 13, 2023 | 119 | SEC filing |
| Mar 14, 2024 | Amendment | $505,539,837 | $410,000vs Mar 13, 2023 | 151 | SEC filing |
| Mar 14, 2024 | Amendment | $1,958,652,155 | $53,812,696vs Mar 13, 2023 | 131 | SEC filing |
| Mar 13, 2023 | Amendment | $1,813,207,388 | $18,610,881vs Mar 15, 2021 | 99 | SEC filing |
| Mar 13, 2023 | Amendment | $505,129,837 | $28,756vs Mar 9, 2022 | 151 | SEC filing |
| Mar 13, 2023 | Amendment | $545,593,981 | $0vs Mar 9, 2022 | 2 | SEC filing |
| Mar 13, 2023 | Amendment | $1,049,647,424 | $979,235,927vs Mar 15, 2021 | 27 | SEC filing |
| Mar 13, 2023 | Amendment | $1,904,839,459 | $249,973,265vs Mar 15, 2021 | 129 | SEC filing |
| Mar 9, 2022 | Amendment | $1,786,273,548 | $131,407,354vs Mar 15, 2021 | 118 | SEC filing |
| Mar 9, 2022 | Amendment | $505,101,081 | $19,130vs Mar 15, 2021 | 133 | SEC filing |
| Mar 9, 2022 | Amendment | $958,266,207 | $887,854,710vs Mar 15, 2021 | 22 | SEC filing |
| Mar 9, 2022 | Amendment | $1,799,736,989 | $5,140,482vs Mar 15, 2021 | 73 | SEC filing |
| Mar 9, 2022 | Amendment | $545,593,981 | $0vs Mar 15, 2021 | 2 | SEC filing |
| Mar 15, 2021 | Amendment | $545,593,981 | $0vs Mar 11, 2020 | 2 | SEC filing |
| Mar 15, 2021 | Amendment | $70,411,497 | No comparison | 11 | SEC filing |
| Mar 15, 2021 | Amendment | $1,654,866,194 | $115,609,085vs Mar 11, 2020 | 100 | SEC filing |
| Mar 15, 2021 | Amendment | $1,794,596,507 | $16,540,009vs Mar 11, 2020 | 53 | SEC filing |
| Mar 15, 2021 | Amendment | $505,081,951 | $848,648vs Mar 11, 2020 | 133 | SEC filing |
| Mar 11, 2020 | Amendment | $1,539,257,109 | $1,111,374,491vs Mar 8, 2019 | 79 | SEC filing |
| Mar 11, 2020 | Amendment | $504,233,303 | $1,101,555vs Mar 8, 2019 | 133 | SEC filing |
| Mar 11, 2020 | Amendment | $545,593,981 | $0vs Mar 8, 2019 | 2 | SEC filing |
| Mar 11, 2020 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Mar 11, 2020 | Amendment | $1,778,056,498 | $9,217,800vs Mar 8, 2019 | 52 | SEC filing |
| Mar 8, 2019 | Amendment | $1,768,838,698 | $19,761,546vs Mar 12, 2018 | 51 | SEC filing |
| Mar 8, 2019 | Amendment | $545,593,981 | $0vs Mar 12, 2018 | 2 | SEC filing |
| Mar 8, 2019 | Amendment | $503,131,748 | $771,085vs Mar 12, 2018 | 133 | SEC filing |
| Mar 8, 2019 | Amendment | $427,882,618 | $115,884,336vs Mar 12, 2018 | 50 | SEC filing |
| Mar 12, 2018 | Amendment | $502,360,663 | $1,876,002vs Mar 13, 2017 | 133 | SEC filing |
| Mar 12, 2018 | Amendment | $1,749,077,152 | $25,462,927vs Mar 13, 2017 | 48 | SEC filing |
| Mar 12, 2018 | Amendment | $545,593,981 | $0vs Mar 13, 2017 | 2 | SEC filing |
| Mar 12, 2018 | Amendment | $311,998,282 | $194,570,436vs Mar 13, 2017 | 16 | SEC filing |
| Mar 13, 2017 | Amendment | $117,427,846 | $33,924,301vs Mar 10, 2016 | 6 | SEC filing |
| Mar 13, 2017 | Amendment | $545,593,981 | $0vs Mar 10, 2016 | 2 | SEC filing |
| Mar 13, 2017 | Amendment | $500,484,661 | $7,361,538vs Mar 10, 2016 | 133 | SEC filing |
| Mar 13, 2017 | Amendment | $1,723,614,225 | $42,582,676vs Mar 10, 2016 | 47 | SEC filing |
| Mar 10, 2016 | Amendment | $1,681,031,549 | $45,440,900vs Mar 13, 2015 | 47 | SEC filing |
| Mar 10, 2016 | Amendment | $493,123,123 | $1,800,361vs Mar 13, 2015 | 133 | SEC filing |
| Mar 10, 2016 | Amendment | $545,593,981 | $0vs Mar 13, 2015 | 2 | SEC filing |
| Mar 10, 2016 | Amendment | $83,503,545 | $0vs Jan 15, 2016 | 3 | SEC filing |
| Jan 15, 2016 | Initial | $83,503,545 | No comparison | 3 | SEC filing |
| Mar 13, 2015 | Amendment | $545,593,981 | $0vs Mar 13, 2014 | 2 | SEC filing |
| Mar 13, 2015 | Amendment | $1,635,590,649 | $145,321,291vs Mar 13, 2014 | 46 | SEC filing |
| Mar 13, 2015 | Amendment | $491,322,762 | $2,642,172vs Mar 13, 2014 | 133 | SEC filing |
| Mar 13, 2014 | Amendment | $488,680,590 | $34,550,247vs Mar 13, 2013 | 133 | SEC filing |
| Mar 13, 2014 | Amendment | $1,490,269,358 | $288,179,390vs Mar 14, 2012 | 42 | SEC filing |
| Mar 13, 2014 | Amendment | $545,593,981 | $0vs Mar 13, 2013 | 2 | SEC filing |
| Mar 13, 2013 | Amendment | $545,593,981 | $0vs Mar 14, 2012 | 2 | SEC filing |
| Mar 13, 2013 | Amendment | $1,335,328,230 | $133,238,262vs Mar 14, 2012 | 39 | SEC filing |
| Mar 13, 2013 | Amendment | $454,130,343 | -$19,664,646vs Mar 14, 2012 | 119 | SEC filing |
| Mar 14, 2012 | Amendment | $545,593,981 | $0vs Mar 14, 2011 | 2 | SEC filing |
| Mar 14, 2012 | Amendment | $473,794,989 | -$190,572,379vs Mar 14, 2011 | 190 | SEC filing |
| Mar 14, 2012 | Amendment | $1,202,089,968 | $139,371,784vs Mar 14, 2011 | 35 | SEC filing |
| Mar 14, 2011 | Amendment | $1,062,718,184 | $223,294,973vs Mar 11, 2010 | 26 | SEC filing |
| Mar 14, 2011 | Amendment | $664,367,368 | $340,069,470vs Mar 11, 2010 | 130 | SEC filing |
| Mar 14, 2011 | Amendment | $545,593,981 | $0vs Mar 11, 2010 | 2 | SEC filing |
| Mar 11, 2010 | Amendment | $839,423,211 | $144,441,620vs Mar 16, 2009 | 23 | SEC filing |
| Mar 11, 2010 | Amendment | $324,297,898 | $102,280,819vs Mar 16, 2009 | 119 | SEC filing |
| Mar 11, 2010 | Amendment | $545,593,981 | $0vs Mar 16, 2009 | 2 | SEC filing |
| Mar 16, 2009 | Amendment | $694,981,591 | No comparison | Not reported | SEC filing |
| Mar 16, 2009 | Amendment | $222,017,079 | No comparison | Not reported | SEC filing |
| Mar 16, 2009 | Amendment | $545,593,981 | No comparison | Not reported | SEC filing |
| Mar 21, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 3C, 3C.1, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $6.42M
- Finders' fees
- $0
- Form D file number
- 021-576206
Variable Interests in Private Placement Variable Universal Life Policies (Pinnacle PPVUL)
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Walnut Street Securities, Inc. | 15840 | Walnut Street Securities, Inc. · CRD 15840 |
| Valmark Securities, Inc. | 31243 | Valmark Securities, Inc. · CRD 31243 |
| Investors Capital Corporation | 30613 | Investors Capital Corporation · CRD 30613 |
| Northwestern Mutual Investment Services, LLC | 2881 | Northwestern Mutual Investment Services, Inc. · CRD 2881 |
| NYLINK Insurance Agency Incorporated | None | NYLIFE Securities, LLC · CRD 5167 |
| Royal Alliance Associates | 23131 | Royal alliance Associates · CRD 23131 |
| American Portfolios Financial Services | 18487 | American Portfolios Financial Services · CRD 18487 |
| New Investors World, Inc. | 109356 | New Investors World, Inc. · CRD 109356 |
| NFP Securities, Inc. | 42046 | NFP Securities, Inc. · CRD 42046 |
| Stern Capital LLC | 131226 | Stern Capital LLC · CRD 131226 |
| First Montauk Securities Corp. | 13755 | First Montauk Securities Corp. · CRD 13755 |
| MAG Financial Inc. | 36327 | MAG Financial Inc. · CRD 36327 |
| Manor House Capital, LLC | 140863 | Manor House Capital, LLC · CRD 140863 |
| Lincoln Financial Advisors Corp. | 3978 | Lincoln Financial Advisors Corp. · CRD 3978 |
| MML Investors Services, Inc. | 10409 | MML Investors Services, Inc. · CRD 10409 |
| Deutsche Bank Securities Inc. | 2525 | Deutsche Bank Securities Inc. · CRD 2525 |
| Ross Securities Corporation | 113796 | Ross Securities Corporation · CRD 113796 |
| Park Avenue Securities LLC | 46173 | Park Avenue Securities LLC · CRD 46173 |
| M Holdings Securities Inc. | 43285 | M Holdings Securities Inc. · CRD 43285 |
| Wealth Preservation Associates LLC | 35277 | Wealth Preservation Associates LLC · CRD 35277 |
| NYLIFE Securities LLC | 5167 | NYLIFE Securities LLC · CRD 5167 |
| First Liberties Financial | 14432 | First Liberties Financial · CRD 14432 |
| Oglivie Security Advisors Corporation | 10105 | Oglivie Security Advisors Corporation · CRD 10105 |
| World Equity Group, Inc. | 29087 | World Equity Group, Inc. · CRD 29087 |
| LPL Financial LLC | 6413 | LPL Financial LLC · CRD 6413 |
| Lion Street Financial | 165828 | Lion Street Financial · CRD 165828 |
| Kestra Investment Services LLC | 42046 | Kestra Investment Services LLC · CRD 42046 |
Source: Form D, filed Mar 11, 2026. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No matching detailed fund disclosure was found in the latest imported ADV filings. This does not establish that the issuer has no adviser.
Adviser links for this issuer
These links apply to the issuer record and have not been matched to the fundraising shown above.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Andrew F. Amenn | Executive |
| Erik A. Anderson | Director, Executive |
| Christopher T. Ashe | Director, Executive |
| Sara Badler | Executive |
| David G. Bedard | Director, Executive |
| Dawn Behrens | Executive |
| Scott Berlin | Executive |
| Christopher O. Blunt | Director, Executive |
| Frank M. Boccio | Executive |
| Elizabeth K. Brill | Director, Executive |
| Alexander I. Cook | Director |
| James J. Cristallo | Executive |
| David Cruz | Executive |
| John A. Cullen | Executive |
| Craig L. De Santo | Director, Executive |
| Thomas J. English | Executive |
| Eric Feldstein | Director, Executive |
| Stephen P. Fisher | Executive |
| John T. Fleurant | Director, Executive |
| Michael A. Gamble | Executive |
| Robert M. Gardner | Director, Executive |
| Solomon Goldfinger | Executive |
| Michael J. Gordon | Executive |
| Matthew M. Grove | Director, Executive |
| Frank J. Harte | Director |
| Robert J. Hebron | Executive |
| Thomas A. Hendry | Director, Executive |
| Dylan W. Huang | Director, Executive |
| John Y. Kim | Director, Executive |
| John Y. K Im | Director, Executive |
| Jodi Kravitz | Director |
| Steven D. Lash | Executive |
| Drew Lawton | Executive |
| Mark J. Madgett | Director |
| Anthony R. Malloy | Director |
| Carherine A. Marrion | Executive |
| Catherine A. Marrion | Executive |
| Theodore A. Mathas | Director, Executive |
| Michael Mc Donnell | Director, Executive |
| Barbara J. Mc Inerney | Executive |
| Colleen A. Meade | Executive |
| John R. Meyer | Executive |
| Amy Miller | Director |
| Paul T. Pasteris | Executive |
| Mark W. Pfaff | Executive |
| Michelle D. Richter | Executive |
| Gerard A. Rocchi | Executive |
| Janis C. Rubin | Executive |
| Craig A. Sabal | Director |
| Angelo J. Scialabba | Executive |
| Arthur H. Seter | Director, Executive |
| Eileen T. Slevin | Executive |
| Michael E. Sproule | Executive |
| Joel M. Steinberg | Director, Executive |
| Susan A. Thrope | Executive |
| Teresa A. Turner | Executive |
| Gary E. Wendlandt | Executive |
| Michael Whitton | Executive |
| Matthew D. Wion | Director |
| Richard J. Witterschein | Executive |
Issuer details
Industry: Insurance (See others in industry)
Address:
51 Madison Avenue C/O New York Life Insurance Company
New York, NY, 10010
Phone: 302-369-8500
New York, NY, 10010
Phone: 302-369-8500