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MACKAY SHIELDS LLC
NEW YORK, NY · www.nylim.com/mackay-shields · investment adviser, SEC-registered · ADV filed 2026-08-06
From Form ADV, the adviser's own filing with the SEC, updated monthly · the record on adviserinfo.sec.gov
Assets managed
$10B+
the band; the figure is for members
Regulatory AUM
Form ADV item 5F
Accounts
and assets per account
Employees
Form ADV item 5A
The adviser's own figures: assets, accounts, people Any plan
Exact regulatory assets, how many accounts they serve and the assets behind each, and the team size, from their own filing.
How they are registered
Investment adviser, SEC-registered.
Public documents on the SEC's adviser site, linked as filed. Disclosures on file (Form ADV item 11): not stated · read the record
Leadership and owners
16 executive officers and direct owners on Schedule A of the firm's Form ADV.
From the firm's own filing, refreshed monthly. Named here and want a correction? Tell us.
Funds they advise
Registered funds (mutual funds, ETFs, BDCs)
16 funds
each fund and its prospectus on EDGAR: any plan
Private funds (hedge, private equity, other)
17 funds
name, type and gross assets of each: any plan
Oversee your adviser Gold
Put their disclosed book beside your own portfolio as a shadow book and watch what they do each quarter. Observation only, never a trade.
Source: Form ADV, the adviser's own filing with the SEC, via the public adviser directory, refreshed monthly. Firm facts in the clear; the people named on the filing are shown to members only. Educational analysis of published data: insight, not advice.