Mackay Shields LLC

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Mackay Shields LLC ✚
CRD #	107717
SEC #	801-5594
CIK #	0000061227
AUM	159.52 B (2026-04-21)
Employees	206 (35% Investors, 18% Brokers)
Fees
Minimum
Phone	212-758-5400
Address	299 Park Avenue New York, NY 10171
Source	[IAPD] [EDGAR] [Website] [Twitter] [LinkedIn]

Total AUM ($B) Copy

Type	Form D Funds	Date	Sold	AUM
Other	Mackay Shields Series Fund LLC - High Yield Corporate Bond Series	[2025-01-21]	24.1 M	40.9 M
	Filed 2025-12-15 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Mackay Shields Series Fund LLC - Securitized Credit Opportunities Series	2024-03-22		27.4 M
HF	Mackay Municipal High Income Opportunities Fund LP	[2021-03-31]	862.5 M	689.6 M
	Filed 2026-01-13 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $9,100,000 · Net Assets Decline to Disclose
HF	Mackay Flexible Income Fund LP	[2020-06-15]	3.2 M	2.8 M
	Filed 2023-05-01 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
PE	Mackay Shields TALF 20 Opportunities Master Fund LP	[2020-06-15]	36.0 M	930.7 M
	Filed 2020-06-12 (D) · Exemption 506(b), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
HF	Mackay Municipal High Yield Select Fund LP	[2019-11-07]	683.5 M	516.9 M
	Filed 2025-07-28 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $13,000,000 · Net Assets Decline to Disclose
HF	Mackay Municipal US Infrastructure Opportunities Fund LP	[2019-11-07]	114.5 M	35.2 M
	Filed 2024-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Commission $300,000 · Net Assets Decline to Disclose
HF	Mackay Municipal Opportunities Allocation Master Fund LP	[2019-05-07]		1,343.3 M
	Filed 2020-03-04 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
SA	MKS CLO 2017-2 Ltd	2018-03-28		397.5 M
HF	Mackay CornerStone US Equity Market Neutral Fund LP	[2017-09-28]	32.8 M	0.1 M
	Filed 2017-08-01 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Commission $250,000 · Net Assets Decline to Disclose
HF	Mackay Shields Intermediate Bond Fund LP	[2017-09-28]	690.4 M	779.9 M
	Filed 2025-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Commission $850,000 · Net Assets Decline to Disclose
SA	MKS CLO 2017-1 Ltd	2017-07-27		356.6 M
HF	Mackay Municipal Strategic Opportunities Fund LP	[2017-03-30]	214.1 M	1.6 M
	Filed 2022-03-25 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $4,000,000 · Net Assets Decline to Disclose
Other	Mackay Shields High Yield Crossover Fund LP	2017-03-30		0.0 M
HF	Mackay Shields Select Credit Opportunities Fund LP	[2017-03-30]	45.8 M	0.6 M
	Filed 2021-04-02 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $200,000 · Net Assets Decline to Disclose
HF	Mackay Municipal Capital Trading Master Fund LP	[2017-02-27]	410.1 M	512.6 M
	Filed 2025-10-17 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $2,000,000 · Net Assets Decline to Disclose
HF	Mackay Municipal New York Opportunities Fund LP	[2016-11-22]	389.2 M	315.9 M
	Filed 2025-09-26 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $7,700,000 · Net Assets Decline to Disclose
HF	Mackay Municipal California Opportunities Fund LP	[2015-03-31]	1,054.3 M	360.7 M
	Filed 2025-05-06 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $11,500,000 · Net Assets Decline to Disclose
HF	Mackay Puerto Rico Opportunities Fund LP	[2015-03-31]	12.4 M	3.1 M
	Filed 2019-04-12 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Commission $500,000 · Net Assets Decline to Disclose
HF	Plainview Funds PLC - Mackay Shields Unconstrained Bond Portfolio	[2013-05-15]	244.8 M
	Filed 2022-02-01 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Commission $471,659 · Net Assets Decline to Disclose
HF	Plainview Funds PLC - Mackay Shields Emerging Market Credit Portfolio	2013-02-15		113.9 M
HF	Plainview Funds PLC - Mackay Shields Flexible Bond Portfolio	2013-02-15		120.4 M
HF	Mackay Municipal Credit Opportunities Master Fund LP	[2012-03-30]	80.2 M	4,066.8 M
	Filed 2023-06-29 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $100,000 · Net Assets Decline to Disclose
HF	Mackay Municipal Opportunities Master Fund LP	[2012-03-30]	1,616.4 M	2,669.3 M
	Filed 2026-03-13 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $40,000,000 · Net Assets Decline to Disclose
HF	Mackay Municipal Short Term Opportunities Fund LP	[2012-03-30]	2,134.0 M	219.8 M
	Filed 2025-12-05 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $1,000,000 · Net Assets Decline to Disclose
Other	Mackay Shields Core Fixed Income Fund LP	[2012-03-30]	297.2 M	214.6 M
	Filed 2026-03-04 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Commission $450,000 · Net Assets Decline to Disclose
HF	Mackay Shields Core Plus/Opportunities Fund LP	[2012-03-30]	923.9 M	0.1 M
	Filed 2024-10-03 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Commission $2,000,000 · Net Assets Decline to Disclose
HF	Mackay Shields Core Plus Opportunities Fund Ltd	2012-03-30		80.2 M
HF	Mackay Shields Credit Strategy Fund Ltd	2012-03-30		0.4 M
HF	Mackay Shields Credit Strategy Partners LP	2012-03-30		32.3 M
HF	Mackay Shields Defensive Bond Arbitrage Fund Ltd	[2012-03-30]	611.0 M	207.0 M
	Filed 2025-10-03 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Mackay Shields High Yield Active Core Fund LP	[2012-03-30]	1,361.4 M	256.2 M
	Filed 2025-10-03 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $2,000,000 · Remaining Indefinite · Duration More than one year · Commission $3,300,000 · Net Assets Decline to Disclose
Other	Mackay Shields Statutory Trust High Yield Corporate Bond Series	[2012-03-30]	575.0 M
	Filed 2016-10-07 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $2,000,000 · Remaining Indefinite · Duration More than one year · Commission $2,800,000 · Net Assets Decline to Disclose

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	0	0.0
(b) Individuals (high net worth individuals)	25	3.0
(c) Banking or thrift institutions	1	0.2
(d) Investment companies	43	67.7
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	43	23.5
(g) Pension and profit sharing plans	72	13.6
(h) Charitable organizations	1	0.1
(i) State or municipal government entities	34	13.1
(j) Other investment advisers	0	0.0
(k) Insurance companies	75	29.0
(l) Sovereign wealth funds and foreign official institutions	1	6.5
(m) Corporations or other businesses not listed above	12	2.4
(n) Other	47	0.6
Total	366	159.5
By Discretionary
Discretionary	366	159.5
Non-Discretionary	0	0.0
Total	366	159.5
By Non-United States Persons
Non-United States Persons		27.5
United States Persons		132.0
Total	366	159.5

Limited Partners	2011 - 2026
Alaska Division of Retirement and Benefits
Baltimore County Fire and Police Employees' Retirement System
Houston Police Officers' Pension System
Illinois Municipal Retirement Fund
Kansas Public Employees Retirement System
Los Angeles Fire and Police Pensions
Maryland State Retirement and Pension System
New York City Employees' Retirement System
Ohio Police & Firefighters
Teachers' Retirement System of the City of New York

Form D Directors	Role	# Filings	# Firms
John Collis	Director	97	14
Dawn Griffiths	Director	74	14
Young Lee	Director, Executive Officer	50	6
The Bank of New York Mellon	Director	23	6
Mackay Shields LLC	Executive Officer, Promoter	44	5
Jeffrey Phlegar	Director, Executive Officer	14	4
Denise Kinsella	Director	13	4
Eilish Finan	Director	10	4
Lucille Protas	Director, Executive Officer	16	3
Rene Bustamante	Director, Executive Officer	10	3
View All

EDGAR Form	CIK	2011 - 2026
13F-HR	[0000061227]
3	[0000061227]
SC 13D	[0000061227]
SC 13G	[0000061227]

Form 13D/13G Filer	Form 13D/13G Subject	Filed
Mackay Shields LLC	Nine Energy Service Inc	[2026-03-31]
Mackay Shields LLC	Nine Energy Service Inc	[2026-03-31]
Mackay Shields LLC	Forum Energy Technologies Inc	[2023-01-13]
Mackay Shields LLC	Gulfport Energy Corp	[2021-05-25]
Mackay Shields LLC	BlackRock Muniyield Quality Fund II Inc	[2020-09-08]
Mackay Shields LLC	Invesco Exchange-Traded Fund Trust II	[2020-08-11]
Mackay Shields LLC	BlackRock MuniHoldings Quality Fund Inc	[2020-08-11]
Mackay Shields LLC	BlackRock MuniHoldings New Jersey Quality Fund Inc	[2020-08-11]
Mackay Shields LLC	BlackRock Muni Intermediate Duration Fund Inc	[2020-08-11]
Mackay Shields LLC	Talos Energy Inc	[2018-05-11]
View All

Firm Profile (Form ADV)
Discretionary AUM	$77.2B
Serves	Institutional, Retail, Research
Fund Types	Hedge Fund, Private Equity
LEI	549300Y7LLCOFU7R8H16

Form 3/4/5 Subject	2011 - 2026
Mackay Shields LLC
NYLI MacKay Muni Income Opportunities Fund
RiverNorth Managed Duration Municipal Income Fund II Inc
RiverNorth Flexible Municipal Income Fund II Inc
RiverNorth Managed Duration Municipal Income Fund Inc
RiverNorth Opportunistic Municipal Income Fund Inc
Mainstay VP Funds Trust
Exide Technologies
Mainstay Funds
NYLI MacKay DefinedTerm Muni Opportunities Fund

Comparable Firms	State	AUM
Mercer Investments LLC ✚	MA	226.04 B
Wilshire Advisors LLC ✚	CA	149.10 B
Grantham Mayo van Otterloo & Co LLC ✚	MA	80.97 B
MIO Partners Inc ✚	NY	59.59 B
LIDO Advisors LLC ✚	CA	42.50 B
Oppenheimer Asset Management Inc ✚	NY	21.33 B
Horizon Kinetics Asset Management LLC ✚	NY	9,614.0 M
Stelac Advisory Services LLC ✚	NY	6,286.4 M
B Riley Wealth Advisors Inc ✚	TN	4,211.6 M
Palisade Capital Management LP ✚	NJ	3,862.5 M

Mackay Shields LLC

Assets, Funds, Holdings