Senior Leadership Team
Sara L. Badler – Senior Vice President, Investments Group Compliance
Sara Badler is responsible for all compliance work for the Investments Group. This encompasses the investment advisers, including NYL Investors LLC and New York Life Investment Management LLC, MainStay Funds, and the investment boutiques. Ms. Badler has more than 25 years of industry experience.
Ms. Badler was with New York Life Insurance Company from 1994 to 1999 and rejoined the company in 2004. She held positions of increasing responsibility in the Office of General Counsel including the role of Chief Investments Counsel.
Previously, Ms. Badler was with Morgan Stanley and Van Kampen Investments. During her two years at Morgan Stanley, she was Executive Director responsible for all legal work for U.S. equity mutual funds. During her time at Van Kampen Investments, she was promoted to the role of General Counsel and was responsible for all legal and compliance work for the firm’s business which included open-end funds, closed-end funds, and unit investment trusts. Earlier in her career, Ms. Badler worked for Oppenheimer Funds and Damson Oil Corporation, a syndicator of limited partnerships.
Ms. Badler received an AB degree from Cornell University, a Master of Arts degree from Bank Street College of Education and a Juris Doctor from Fordham University School of Law.
Stephen Fisher – President of New York Life Investment Management LLC
Stephen Fisher is the President of New York Life Investment Management LLC (NYLIM). He also serves as President of the MainStay Funds and Chief Marketing Officer for the New York Life Investments Group. Mr. Fisher is responsible for overseeing the MainStay Funds - including product development, portfolio analytics and risk oversight, administration, broker/dealer and shareholder services, marketing, creative/digital services, and Third Party Distribution.
Prior to joining the firm in 2003, Mr. Fisher was responsible for marketing and product management for UBS Global Asset Management as a Managing Director. Previously, he held senior executive positions in marketing and product development at both Morningstar, Inc. and Prudential Investments. Mr. Fisher has over 25 years of industry experience.
Mr. Fisher holds FINRA Series 7, 24, and 63 registrations.
Mr. Fisher holds a BA in Economics from the University of Pennsylvania and received his MSc. in Economics from the London School of Economics.
Frank M. Harte – Chief Financial Officer, Asset Management Businesses
Frank Harte is the Chief Financial Officer (CFO) for the Asset Management businesses within New York Life's Investments Group. He is responsible for the finance functions for NYL Investors LLC and New York Life Investment Management LLC (NYLIM)–including Institutional Investments, Mutual Funds and Third Party Distribution.
Mr. Harte has over 30 years of industry experience. Most recently, he was a Managing Director and CFO at Artio Global Investors, Inc where he was responsible for the finance function as well as the investor relations, strategy, and enterprise risk management functions.
Previously, Mr. Harte was with the Dresdner Kleinwort Wasserstein Group, in various capacities, with a majority of his tenure serving as Managing Director and CFO for the Americas finance organization. He spent the beginning of his career with The First Boston Corporation and Deloitte & Touche.
Mr. Harte is a Certified Public Accountant (CPA) and member of the American Institute of Certified Public Accountants and New York State Society of Certified Public Accountants.
Mr. Harte holds a BS in Accounting from New York University.
Neil Peterson – Head of Technology, Investments Group
Neil Peterson is the Head of Technology for New York Life’s Investments Group, which includes NYL Investors, New York Life Investment Management, Retail Annuities and Institutional Annuities. These businesses support the management of assets for New York Life’s insurance related portfolios, as well as the management and distribution of institutional and retail financial products.
Mr. Peterson has 25 years experience as a technology executive in the institutional and insurance investment management domain. Prior to joining New York Life in 2009, he served as Senior Vice President at Neuberger Berman Investment Management LLC (formerly Lehman Brothers Asset Management) and was responsible for the strategy definition and build out of their global investment management platforms. He also served in senior business and technology leadership roles at Deutsche Asset Management and Scudder Investments.
Mr. Peterson holds a BA in Economics from the University of Massachusetts at Amherst and an MBA in Finance from Suffolk University in Boston.
George Shively – Deputy General Counsel
George Shively is Deputy General Counsel of New York Life and is responsible for all legal work for the Investments Group. Mr. Shively joined New York Life in 2006.
Previously, Mr. Shively was Managing Director and Deputy General Counsel with Legg Mason/ Citigroup Asset Management North America LLC, where he served as head of the Investment Advisory Legal Team.
Mr. Shively received a BA, cum laude, in Political Science from Middlebury College in Vermont, where he received the Jarrett Award for Excellence in Law & American Politics. He holds a JD from New York University School of Law.