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MACKAY SHIELDS LLC
CRD 107717File 801-5594
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$159.52B
Top 10% of cohort (national)
Discretionary AUM
$159.52B
Clients
307
366 accounts
Employees
206
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 11, 1969
- Principal office
- 299 PARK AVENUE, 32ND FLOOR, NEW YORK, NY, 10171
- Phone
- 212-758-5400
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $159.52B
- Discretionary AUM
- $159.52B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 366
- Non-discretionary accounts
- 0
- Total accounts
- 366
- AUM per client
- $519.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $2.41B |
| Non-U.S. persons | Fewer than 5 | $6.47B |
| Insurance companies | 75 | $28.99B |
| Investment companies | 43 | $67.66B |
| Charitable organizations | Fewer than 5 | $109.4M |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 25 | $2.97B |
| Pooled investment vehicles | 43 | $23.48B |
| Banking or thrift institutions | Fewer than 5 | $207.3M |
| Pension and profit sharing plans | 72 | $13.59B |
| State or municipal government entities | 34 | $13.08B |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Publications
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 354 | 307 | decreased by47 |
| Apr 1, 2026 | Employees | 201 | 206 | increased by5 |
| Apr 1, 2026 | Clients | 361 | 354 | decreased by7 |
| Apr 1, 2026 | AUM | $151,640,537,359 | $159,521,129,399 | increased by$7,880,592,040 |
| Apr 1, 2026 | Accounts | 377 | 366 | decreased by11 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 368 | 361 | decreased by7 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $164,236,241,145 | $151,640,537,359 | decreased by$12,595,703,786 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 368 | 377 | increased by9 |
| Apr 1, 2022 | Clients | 355 | 368 | increased by13 |
| Apr 1, 2022 | AUM | $154,443,908,559 | $164,236,241,145 | increased by$9,792,332,586 |
| Apr 1, 2022 | Accounts | 355 | 368 | increased by13 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MACKAY SHIELDS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MACKAY SHIELDS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.