# NYL INVESTORS LLC

NYL INVESTORS LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 169553
- Type: SEC-registered investment adviser
- SEC file number: 801-78759
- Location: 51 MADISON AVENUE, NEW YORK, NY, 10010
- Phone: 212-576-7000
- Latest filing: 2026-08-06
- Regulatory AUM: $329.2B
- Discretionary AUM: $328.1B
- Non-discretionary AUM: $1.1B
- Clients: 301
- Accounts: 104

## Business model

- Compensation: % of AUM, Fixed, Performance, Other
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (46)

_Showing 25 of 46 people._

| Name | Role | Location |
| --- | --- | --- |
| Craig Andrew Sabal | MANAGER AND SENIOR MANAGING DIRECTOR | New York, NY |
| Naim Nmn Abou-Jaoude | CHIEF EXECUTIVE OFFICER, MANAGER, AND CHAIRMAN OF THE BOARD | — |
| Alain Maurice Karaoglan | MANAGER AND MEMBER OF COMPENSATION COMMITTEE | — |
| Alison Hiers Micucci | SENIOR MANAGING DIRECTOR | — |
| Anthony Ramsey Malloy | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGER, AND CHAIRMAN OF COMPENSATION COMMITTEE; MANAGER AND CHAIRMAN OF COMPENSATION COMMITTEE | — |
| Dinesh Karuthedath Nair | MANAGER, MANAGING DIRECTOR AND CFO; MANAGER, MEMBER OF COMPENSATION COMMITTEE, MANAGING DIRECTOR AND CFO | — |
| Alpesh Jasvant Rathod | VP & CHIEF COMPLIANCE OFFICER | — |
| Colleen Clare Cooney | MANAGER AND SENIOR MANAGING DIRECTOR | — |
| Maureen Anne Cronin | SVP, GENERAL COUNSEL, & ASSISTANT SECRETARY | — |
| Thomas Patrick O'Hanlon | SENIOR MANAGING DIRECTOR | — |
| Francis Michael Harte | MANAGER AND SENIOR MANAGING DIRECTOR; MANAGER, MEMBER OF COMPENSATION COMMITTEE, AND SENIOR MANAGING DIRECTOR | — |
| Mark William Talgo | MANAGER AND SENIOR MANAGING DIRECTOR | — |
| NAIR DINESH | CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR; MANAGER, MEMBER OF COMPENSATION COMMITTEE, MANAGING DIRECTOR AND CFO | — |
| KIM JOHN YONG | ELECTED MANAGER, CHAIRMAN OF COMPENSATION COMMITTEE, MEMBER OF AUDIT COMMITTEE; MANAGER, CHAIRMAN OF COMPENSATION COMMITTEE, MEMBER OF AUDIT COMMITTEE | — |
| FLEURANT JOHN THOMAS | ELECTED MANAGER AND SENIOR MANAGING DIRECTOR; MANAGER AND SENIOR MANAGING DIRECTOR | — |
| SMITH ALLEN THOMAS | MANAGING DIRECTOR/GENERAL COUNSEL; SVP & GENERAL COUNSEL | — |
| SCHUB BARRY A | MANAGER, MEMBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT | — |
| BLUNT CHRISTOPHER OWSLEY | ELECTED MANAGER, CHAIRMAN OF THE BOARD | — |
| MALLOY ANTHONY RAMSEY | CHIEF EXECUTIVE OFFICER,  AND  ELECTED MANAGER; CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER; CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGER, AND CHAIRMAN OF COMPENSATION COMMITTEE | — |
| STEINBERG JOEL M | MANAGER | — |
| RATHOD ALPESH | CHIEF COMPLIANCE OFFICER; VP & CHIEF COMPLIANCE OFFICER | — |
| SETER ARTHUR HARUTYUN | ELECTED MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT; MANAGER AND MEMBER OF COMPENSATION COMMITTEE; MANAGER, MEMEBER OF COMPENSATION COMMITTEE AND SENIOR VICE PRESIDENT | — |
| SHIVELY GEORGE S | SR. MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY | — |
| MCALEER TARA M | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
| CAPEZZUTO JAMES ANDREW | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |


## Disclosures (36)

_Showing 10 of 11 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-08-07 | regulatory | NYLIC PAID A $2,000 FINE FOR FAILING TO PAY CLAIMS AND INTEREST ON CLAIMS IN A TIMELY MANNER, IN VIOLATION OF CONNECTICUT STATUTORY REQUIREMENTS. NYLIAC PAID A $12,000 FINE FOR PERMITTING EIGHT (8) PRODUCERS TO ACT AS AGENTS IN CONNECTICUT WITHOUT THE REQUIRED APPOINTMENT. BOTH MATTERS WERE RESOLVED… | Final | $14K |
| 2023-12-16 | regulatory | NEW YORK LIFE INSURANCE COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. | Final | $100K |
| 2021-10-04 | regulatory | ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FROM THE KENTUCKY DEPARTMENT OF INSURANCE ALLEGING THAT NYLIC INCORRECTLY IMPLEMENTED PREMIUM RATE INCREASES ON 112 INDIVIDUAL LONG TERM CARE CONTRACTS IN VIOLATIO… | Final | $112K |
| 2021-03-23 | regulatory | THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPANY AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (COLLECTIVELY, "NYL") USED GROUP LIFE INSURANCE AND GROUP ANNUITY FORMS THAT HAD NOT BEEN APPROVED BY THE… | Final | $10K |
| 2018-01-24 | regulatory | DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. | Final | $1K |
| 2016-10-31 | regulatory | AS THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTIONS 53-3.5(A), 53-3.2(A)(2) AND 53-3.6(B)O… | Final | $732K |
| 2015-12-07 | regulatory | THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NYLIC WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE REGULATIONS. NYLIC AND THE IL DEPT OF INSURANCE ENTERED INTO A STIPULATION AND CONSENT ORDER UNDER WHICH NYLIC WILL PAY A CIVIL PENALTY… | Final | $26K |
| 2014-10-24 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $6K |
| 2014-05-30 | regulatory | NYLIC ADMITED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF THE FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS A… | Final | $1K |
| 2014-02-18 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $5K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/169553/brochure
- Similar advisers: https://search.stillhousedata.com/firm/169553/similar
- Related entities: https://search.stillhousedata.com/firm/169553/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/169553

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.