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New York Life Insurance Co. (New York)


New York Life Insurance Co. is a large advisory firm based in New York. It manages $3.7 billion of regulatory assets for 73 client accounts. It has been registered with the SEC as an adviser since 2001.

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New York Life Insurance provides pension consulting services and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

New York Life Insurance: assets under management

The assets under management (AUM) of New York Life Insurance Co. is $3.7 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 306% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $3.7 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $50.66 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay New York Life Insurance Co. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at New York Life Insurance Co.

Betty C. Alewine has been acting as President since 1 Nov 1998. John Yong Kim joined the executive team most recently as the Executive Vice President, President And Chief Executive Officer Of New York Life Investment Management Llc & Emc Member.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
David Windsor Mitchell Director 1 Mar 1973 Other 4340964
Ricahrd Roy Pivirotto Director 1 Apr 1974 Other 4340966
Richard Roy Pivirotto Director 1 Apr 1974 Other 4340966
Patricia Theresa Carbine Director 1 Aug 1976 Other 4340959
Stephen Nelson Steinig Senior vice president, chief actuary 1 May 1982 Other 1430552
William Gilbert Burns Director 1 Nov 1986 Other 4340958
Jessie Morse Colgate Senior vice president & emc mbr. 1 Mar 1989 Other 4340974
Jay Steele Calhoun Senior vice president & treasurer 1 May 1989 Other 1538409
Richard Michael Kernan Director, evp, cio, emc mbr., 1 Mar 1991 Other 1417712
Seymour Sternberg Chairman, president, ceo & emc mbr. 1 Mar 1991 Other 1665885
Anne Felice Pollack Senior vice president & cheif investment officer 1 Mar 1992 Other 4571828
Ravindranath Akhoury Executive management committee member 1 Aug 1994 Other 823252
Thomas Joseph Warga Senior vice president & general auditor 1 Nov 1994 Other 1258724
Frederick James Sievert Director, vice chair & emc mbr 1 Feb 1995 Other 2746844
Marc Jay Chalfin Senior vice president & chief of staff 1 Mar 1995 Other 1281073
Solomon Goldfinger Senior vice president, cfo & emc mbr. 1 Jul 1995 Other 2353192
Frank M Boccio Senior vice president & emc mbr. 1 Jul 1995 Other 2877611
Kent Benard Foster Director 1 Nov 1995 Other 4340960
Jr. Leslie Gladstone Mccraw Director 1 Nov 1995 Other 4340963
George Joseph Trapp Executive vice president, sec'y & emc mbr. s 1 Nov 1995 Other 4340967
Robert Montague Baylis Director 1 Jan 1996 Other 15417
Howard I Atkins Executive vice president, cfo & emc mbr. 1 Apr 1996 Other 2195519
Thomas Fleming Flournoy Emc mbr. & consultant 1 May 1996 Other 804365
Conrad Kenneth Harper Director 1 Jul 1996 Other 4340962
Phillip John Hildebrand Executive vice president & emc mbr. 1 Jan 1997 Other 826888
Judith E. Campbell Senior vice president, cio & emc mbr. 1 Mar 1997 Other 4340970
Jay Steele Calhoun Senior vice president & treasurer 1 Mar 1997 Other 1538409
Richard David Levy Senior vice president & controller 1 Sep 1997 Other 2409784
Gary Gideon Benanav Director, evp & emc mbr. 1 Nov 1997 Other 2257484
Judith E. Campbell Senior vice president, chief information officer & emc mbr. 1 Nov 1997 Other 4340970
Sheila Kearney Davidson Senior vice president, general counsel & emc mbr. 1 Jan 1998 Other 2202606
James Lowell Broadhear Director 1 Mar 1998 Other 4340957
James Lowell Broadhead Director 1 Mar 1998 Other 4340957
Jessie Morse Colgate Senior vice president in charge of governmental affairs & emc mbr. 1 Jul 1998 Other 4340974
Betty C. Alewine Director 1 Nov 1998 Other 4340956
Gerald Kaplan Senior vice president & chief tax counsel 1 Mar 1999 Other 4340968
Gary Edward Wendlandt Executive vice president & emc mbr. 1 May 1999 Other 4323233
Barbara Joan Mcinerney Senior vice president and chief compliance officer 1 Oct 2000 Other 1903614
Robert L Smith Emc member 1 Jan 2001 Other 4515606
Christina A Gold Director 1 Jun 2001 Other 4515603
Joseph W Prueher Director 1 Jun 2001 Other 4515605
Joel M Steinberg Senior vice president and chief actuary 1 Sep 2001 Other 4937997
Hector R Ortino Director 1 Jan 2002 Other 4515604
Teodore A Mathas Emc member 1 Jan 2002 Other 4516106
Robert L Smith Senior vice president & emc member 1 Jan 2002 Other 4515606
Theodore A Mathas Senior vice president & emc member 1 Jan 2002 Other 4516106
Barbara Joan Mcinerney Chief compliance officer 1 Jan 2002 Other 1903614
Michael Edward Sproule Senior vice president & cfo and emc member 1 May 2002 Other 1842826
John Andrew Cullen Senior vice president, controller & chief accounting officer 1 Sep 2002 Other 4624830
Sandy Jeanne Kristoff Senior vice president & chief of staff - office of evp & secretary and emc member 1 Sep 2002 Other 4644376
Frederick James Sievert Director, president & emc mbr 1 Oct 2002 Other 2746844
Seymour Sternberg Chairman, ceo & emc mbr. 1 Oct 2002 Other 1665885
Thomas Joseph Warga Senior vice president & general auditor & chief privacy officer 1 Mar 2003 Other 1258724
Michael Edward Sproule Executive vice president & cfo and emc member 1 Mar 2003 Other 1842826
Frederick Oneil Terrell Director 1 May 2003 Other 1181597
Frederick Oniel Terrell Director 1 May 2003 Other 1181597
Susan A Thrope Senior vice president, deputy general counsel & secretary 1 Mar 2004 Other 4937992
Brian Andrew Murdock Senior vice president & president of new york life investment management llc & emc member 1 Jan 2005 Other 1029254
Sheila Kearney Davidson Executive vice president in charge of law and corporate administration & emc mbr. 1 Mar 2005 Other 2202606
Solomon Goldfinger Senior vice president & chief financial officer u.s. insurance operations & emc member 1 Mar 2005 Other 2353192
Phillip John Hildebrand Executive vice president and co-head, u.s. insurance operations & emc mbr. 1 Mar 2005 Other 826888
Frank Michael Boccio Senior vice president and chief administrative officer, u.s. insurance operations & emc mbr. 1 Mar 2005 Other 2877611
Theodore A Mathas Executive vice president and co-head, u.s. insurance operations & emc member 1 Mar 2005 Other 4516106
Thomas F English Senior vice president and general counsel 1 Mar 2005 Other 4937944
Joseph Archard Gilmour Executive vice president & president & chief executive officer of new york life international & emc member 1 Mar 2005 Other 4937955
Phillip John Hildebrand Vice chair executive vice president and co-head, u.s. insurance operations & emc mbr. 1 Apr 2005 Other 826888
Stephen Nelson Steinig Senior vice president and chief actuary 1 Mar 2006 Other 1430552
Mark Feidler Director 1 Apr 2006 Other 5178436
Thomas C Schievelbein Director 1 Apr 2006 Other 5178438
Gary Edward Wendlandt Senior executive vice president for investment and finance & chairman of new york life investment management llc and emc mbr. 1 Jul 2006 Other 4323233
Theodore A Mathas Director, vice chairman of the board, and chief operating officer 1 Jul 2006 Other 4516106
Mark William Pfaff Senior vice president in charge of the agency department, and emc member 1 Jan 2007 Other 1415401
George Nichols Senior vice persident in charge of governmental affairs and emc member 1 Jan 2007 Other 5314225
Solomon Goldfinger Senior vice president & senior advisor to the chief operating officer & emc member 1 Mar 2007 Other 2353192
Gary W Scofield Senior vice president and chief actuary 1 May 2007 Other 5512197
Theodore A Mathas Director, president and chief operating officer 1 Jul 2007 Other 4516106
Eileen T Slevin Senior vice president and chief information officer 1 Jul 2007 Other 5512177
Richard Joseph Witterschein First vice president and treasurer 1 Jul 2007 Other 5503109
Sheila Kearney Davidson Executive vice president, chief legal officer and general counsel, and emc member 1 Sep 2007 Other 2202606
Frank Michael Boccio Executive vice president and chief administrative officer 1 Sep 2007 Other 2877611
Susan A Thrope Senior vice president, deputy general counsel, secretary and emc member 1 Sep 2007 Other 4937992
Christopher Owsley Blunt Senior vice president and chief operating officer of life and annuity 1 Sep 2007 Other 1557026
Gary Edward Wendlandt Director, vice chairman of the board and chief investment officer 1 Nov 2007 Other 4323233
Sidney Thomas Moser Director 1 Feb 2008 Other 5512172
Solomon Goldfinger Senior vice president and senior adviser to the president 1 Mar 2008 Other 2353192
John Yong Kim Executive vice president, president and chief executive officer of new york life investment management llc & emc member 1 Apr 2008 Other 2010539

Based in New York

The principal office where New York Life Insurance Co. performs its advisory services is located at 51 Madison Avenue, New York, NY 10010, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-576-5803 or by fax 212-447-4196. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.new york life.com.


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