MORGAN STANLEY
MORGAN STANLEY SMITH BARNEY LLC Legal Name
Adviser information for MORGAN STANLEY last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 29300 |
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Investment Advisory/Research | 13000 |
Registered Broker-Dealer Representatives | 26100 |
Registered State Investment Advisers | 22500 |
Licensed Agents of an Insurance Company | 15700 |
No. of Firms/People that Solicit Clients | 450 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 1.9M | $1009.8B |
Non-Discretionary | 515,791 | $392.6B |
Total | 2.4M | $1402.4B |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 2.3M | $926.0B |
HNW Individuals | 27,844 | $335.4B |
Banking or thrift institutions | 3,291 | $4.9B |
Investment companies | 3 | $5.8B |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 9,342 | $45.5B |
Charitable organizations | 36,383 | $67.7B |
State or municipal gov entities | 1,204 | $4.8B |
Other investment advisers | 0 | $0 |
Insurance companies | 982 | $3.8B |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 1,448 | $8.5B |
Other | 63 | $29.5M |
Type | Number |
---|---|
No. of Non-RAUM Clients | 335385 |
No. of Non-U.S. Clients | 1 |
No. of Financial Planning Clients | 135000 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsASSET ALLOCATION ADVICE |
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Compensation | % of AUMFixed feesCommissionsPerformance-based feesSEE SCHEDULE D MISCELLANEOUS |
Other Business Activities | Broker-dealerNFA/CFTC - INTRODUCING BROKER AND SWAP FIRM |
Wrap Fee Program
Offers Wrap Fee Program | Yes |
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Acting As | RAUM |
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Sponsor | 232.8B |
Portfolio Manager | 0 |
Both for Same | 1169.6B |
Portfolio Manager to Program | Sponsor |
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INSTITUTIONAL CASH ADVISORY PROGRAM | MORGAN STANLEY |
MORGAN STANLEY ACCESS INVESTING PROGRAM | MORGAN STANLEY |
PORTFOLIO MANAGEMENT PROGRAM | MORGAN STANLEY |
MORGAN STANLEY CORE PORTFOLIOS | MORGAN STANLEY |
SELECT UMA PROGRAM | MORGAN STANLEY |
GRAYSTONE PROGRAM (DISCRETIONARY) | MORGAN STANLEY |
OUTSOURCED CHIEF INVESTMENT OFFICER (OCIO) PROGRAM | MORGAN STANLEY |
Identifiers
SEC RIA File Number | 801-70103 |
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SEC ERA File Number | 801-70103 |
SEC CIK Numbers | None |
SEC CRD Numbers | 149777 |
Legal Entity Identifier | 7PDDXEMZ0ZV0CEDU4D16 |
Principal Office
2000 WESTCHESTER AVENUEPURCHASE
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 914-225-5510, Fax: None
Chief Compliance Officer
TIMOTHY HANSEN
EXECUTIVE DIRECTOR
2000 WESTCHESTER AVENUE
PURCHASE
NY
United States
Tel:
914-225-0052
Fax:
646-452-4303
T*************@****************M
(Full email address available in API data)
Regulatory Contact
CHERYL HICKMAN
VICE PRESIDENT
100 SOUTH CHARLES STREET
4TH FLOOR
BALTIMORE
MD
United States
Tel:
667-312-4062
R*************@****************M
(Full email address available in API data)
Industry Affiliates
AIP 1GT FUND (LUX) GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
AIP 1GT FUND GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP ASIA-SMA GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP ASIA-SMA II SLP LP | Other investment adviser, including financial planners |
AIP ASIA-SMA III SLP LP | Other investment adviser, including financial planners |
AIP BRICKYARD GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP COMPREHENSIVE SECONDARIES I GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP COMPREHENSIVE SECONDARIES II GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP COMPREHENSIVE SECONDARIES III SLP LP | Other investment adviser, including financial planners |
AIP COSMIC SLP LP | Other investment adviser, including financial planners |
AIP CRYSTAL-SMA I SLP LP | Other investment adviser, including financial planners |
AIP DIAMOND-SMA I SLP LP | Other investment adviser, including financial planners |
AIP DR SLP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
AIP GATEWAY II GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP GLOBAL DIVERSIFIED ALTERNATIVES V GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP GLOBAL DIVERSIFIED VI GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP GLOBAL DIVERSIFIED VII SLP LP | Other investment adviser, including financial planners |
AIP GLOBAL IMPACT I GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP GLOBAL INCOME I GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP GLOBAL INCOME II SLP LP | Other investment adviser, including financial planners |
AIP GLOBAL VENTURE I SLP LP | Other investment adviser, including financial planners |
AIP GRANITE-SMA GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP MBAR SLP LP | Other investment adviser, including financial planners |
AIP MCS VALUE SLP LP | Other investment adviser, including financial planners |
AIP MEDYARD GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP NML-SMA GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP OPPORTUNISTIC ACI I GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP OPPORTUNISTIC ACI II SLP GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP OPPORTUNISTIC ACI III SLP LP | Other investment adviser, including financial planners |
AIP OPPORTUNISTIC ALTERNATIVES GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP OPPORTUNISTIC SECONDARIES I SLP LP | Other investment adviser, including financial planners |
AIP OPPORTUNISTIC SECONDARIES II SLP LP | Other investment adviser, including financial planners |
AIP RE FOF 2009 GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP RE FOF 2010 GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP RE FOF II GP LP | Sponsor, GP, manager of pooled investment vehicles |
AIP RUBY-SMA I SLP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
AIP SEEDLING I SLP LP | Other investment adviser, including financial planners |
AIP SOUTHYARD GP INC. | Sponsor, GP, manager of pooled investment vehicles |
AIP TRANSITIONAL DIVERSIFIED ALTERNATIVES GP LP | Sponsor, GP, manager of pooled investment vehicles |
ATLANTA CAPITAL | Other investment adviser, including financial planners |
BANCO MORGAN STANLEY S.A. | Banking or thrift institution |
BOSTON MANAGEMENT AND RESEARCH | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
CALVERT RESEARCH AND MANAGEMENT | Other investment adviser, including financial planners |
CERES MANAGED FUTURES LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
CONSULTING GROUP ADVISORY SERVICES LLC | Other investment adviser, including financial planners |
COOK STREET CONSULTING, INC. | Other investment adviser, including financial planners |
CT REAL ASSETS SLP LP | Sponsor, GP, manager of pooled investment vehicles |
E*TRADE FUTURES L.L.C. | Futures commission merchant |
E*TRADE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
EATON VANCE MANAGEMENT | Other investment adviser, including financial planners |
FLINT CAPITAL PARTNERS GP LP | Sponsor, GP, manager of pooled investment vehicles |
GLOBAL DIVERSIFIED ALTERNATIVES III GP LP | Sponsor, GP, manager of pooled investment vehicles |
GLOBAL DIVERSIFIED ALTERNATIVES IV GP LP | Sponsor, GP, manager of pooled investment vehicles |
GLOBAL DIVERSIFIED ALTERNATIVES IV SLP GP LTD | Other investment adviser, including financial planners |
GPF PRIVATE EQUITY GP LP | Sponsor, GP, manager of pooled investment vehicles |
GTB CAPITAL PARTNERS GP LP | Sponsor, GP, manager of pooled investment vehicles |
MESA WEST DSA, LLC | Other investment adviser, including financial planners |
MORGAN STANLEY & CO. LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisorFutures commission merchant |
MORGAN STANLEY ALTERNATIVES HOLDING D INC. | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY BANK, NA | Banking or thrift institution |
MORGAN STANLEY CAYMAN GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY FIXED INCOME GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC | Other investment adviser, including financial planners |
MORGAN STANLEY INSURANCE SERVICES INC. | Insurance company or agency |
MORGAN STANLEY INVESTMENT MANAGEMENT INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY NEXT LEVEL FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE BANK, NATIONAL ASSOCIATION | Banking or thrift institution |
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA IV, INC. | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA IV, L.L.C. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA V GP ONT, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA V, INC. | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY PRIVATE EQUITY ASIA, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY REAL ESTATE ADVISOR, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY TACTICAL VALUE FUND II CO-INVEST EXCELSIOR GP LLC | Sponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY VENTURE CAPITAL III INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MORGAN STANLEY VENTURE PARTNERS III, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS ADVISER INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
MS CAPITAL PARTNERS CV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS V GP L.P. | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VI GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VI GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VII GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VII GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VIII GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CAPITAL PARTNERS VIII GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS GP INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS HOLDINGS INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS II GP INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS II GP L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS III GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS III GP L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS III S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS IV GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS CREDIT PARTNERS IV GP L.P. | Sponsor, GP, manager of pooled investment vehicles |
MS ENERGY PARTNERS GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS ENERGY PARTNERS GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CAPITAL GP INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CAPITAL GP LP | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CREDIT GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CREDIT GP L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CREDIT II GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION CREDIT II GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION EQUITY GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION EQUITY GP LP | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS EXPANSION EQUITY IX GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS EXPANSION EQUITY IX GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS SENIOR LOAN PARTNERS GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS SENIOR LOAN PARTNERS GP L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MS TACTICAL VALUE FUND GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS TACTICAL VALUE FUND GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS TACTICAL VALUE FUND II GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MS TACTICAL VALUE FUND II GP LP | Sponsor, GP, manager of pooled investment vehicles |
MS VENTURE CAPITAL HOLDING INC. | Sponsor, GP, manager of pooled investment vehicles |
MSCP V GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MSCP V OFFSHORE INVESTORS GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
MSCVF I GP INC. | Sponsor, GP, manager of pooled investment vehicles |
MSCVF I GP LP | Sponsor, GP, manager of pooled investment vehicles |
MSDW VENTURE PARTNERS IV INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
MSDW VENTURE PARTNERS IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
MSDW VP IV HOLDINGS, INC. | Sponsor, GP, manager of pooled investment vehicles |
MSREF V INTERNATIONAL-GP, L.L.C. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MSREF VI INTERNATIONAL-GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MSREF VII GLOBAL (CAYMAN) II, LTD. | Sponsor, GP, manager of pooled investment vehicles |
MSREF VII GLOBAL-GP (CAYMAN), L.P. | Sponsor, GP, manager of pooled investment vehicles |
MSREF VII GLOBAL-GP (U.S.), L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MSREF VII GLOBAL-GP, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MSREF VIII GLOBAL-GP, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MSREF VIII GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MSREF VIII, INC. | Sponsor, GP, manager of pooled investment vehicles |
MSREI IX GLOBAL-GP, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MSREI IX GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MSREI X GLOBAL-GP, LP | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
MSREI X GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
MSVP 2002 FUND, LLC | Sponsor, GP, manager of pooled investment vehicles |
MSVP 2002, INC. | Sponsor, GP, manager of pooled investment vehicles |
OLOMANA REAL ASSETS SLP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
PARAMETRIC PORTFOLIO ASSOCIATES | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
PRIVATE EQUITY CO-INVESTMENT OPPORTUNITIES FUND II INVESTMENT TEAM LEF LP | Sponsor, GP, manager of pooled investment vehicles |
PRIVATE INVESTMENT PARTNERS GP INC. | Sponsor, GP, manager of pooled investment vehicles |
PRIVATE INVESTMENT PARTNERS INC. | Sponsor, GP, manager of pooled investment vehicles |
SBHU LIFE AGENCY, INC. | Insurance company or agency |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
MORGAN STANLEY | Domestic Entity | MORGAN STANLEY CAPITAL MANAGEMENT LLC | MEMBER | 10/2002 | > 75% |
HANSEN, TIMOTHY GERARD | Individual | – | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 03/2011 | < 5% |
FINN, JED | Individual | – | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 01/2024 | < 5% |
JANOVER, JAMES TROY | Individual | – | DIRECTOR | 02/2016 | < 5% |
ADRIEN, JACQUES CARLO JR | Individual | – | PRINCIPAL FINANCIAL OFFICER | 05/2019 | < 5% |
GREGO, JENNIFER A | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2019 | < 5% |
GALASSO, DAVID ANTHONY | Individual | – | PRINCIPAL OPERATIONS OFFICER | 07/2019 | < 5% |
MORGAN STANLEY CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 08/2023 | > 75% |
FLETCHER, PATRICIA KAY | Individual | – | TEXAS DESIGNATED PRINCIPAL | 10/2023 | < 5% |
HENNESSY, MICHAEL S | Individual | – | DIRECTOR | 01/2024 | < 5% |
TURNER, CHAD EDWARD | Individual | – | DIRECTOR | 01/2024 | < 5% |