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MORGAN STANLEY
MORGAN STANLEY SMITH BARNEY LLC
CRD 149777 · SEC 801-70103
2000 WESTCHESTER AVENUE, PURCHASE, NY, 10577-2530, United States
Phone
914-225-5510
Fax
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Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$1.96T
Discretionary AUM
$1.43T
Team
29481 total employees; 13000 advisory reps; 416984 broker-dealer reps
Clients
More than 500
Fees
Percentage of AUM; Fixed fees; Commissions; Performance-based fees; SEE SCHEDULE D MISCELLANEOUS
Org form
Limited Liability Company
Filing date
2026-06-10
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Portfolio management (investment companies)Portfolio management (institutions)Pension consultingSelection of other advisersEducational seminarsASSET ALLOCATION ADVICE
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 2600707 | $1.25T |
| High net worth individuals | 43631 | $527.59B |
| Banking/thrift institutions | 4257 | $6.39B |
| Investment companies | 4 | $263.7M |
| Pension/profit sharing plans | 10466 | $74.86B |
| Charitable organizations | 39751 | $79.48B |
| State/municipal entities | 1423 | $8.11B |
| Insurance companies | 1387 | $5.88B |
| Corporations/business entities | 1982 | $13.87B |
States served
VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
Official SEC filing: View on IAPD