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MACKAY SHIELDS LLC

NEW YORK, NY · CRD 107717 · IAPD ↗ · nylim.com · 212-758-5400

$159.52BRegulatory AUM
73Advisory reps
206Employees
0Clients
n/aPlanning clients
16Private funds
53States
14Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — MACKAY SHIELDS LLC shrank from 79 to 73 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
March 2026 — MACKAY SHIELDS LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2024 — MACKAY SHIELDS LLC's Item 11 disclosure-reporting entries rose by 1 (19 -> 20).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — MACKAY SHIELDS LLC shrank from 84 to 79 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.