MORGAN STANLEY

Legal name: MORGAN STANLEY SMITH BARNEY LLC

CRD 149777File 801-70103

APPROVED

Retail clients

Custody

Disclosure events

Filing as of Sep 28, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$2.0T

Top 10% of cohort (national)

Discretionary AUM

$1.4T

Non-discretionary $527.37B

Clients

2,703,608

2,703,720 accounts

Employees

29,481

Top 10% of cohort in NY

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: NYRO
Registration date: May 11, 2009
Principal office: 2000 WESTCHESTER AVENUE, PURCHASE, NY, 10577-2530
Phone: 914-225-5510
Website: HTTP://WWW.MORGANSTANLEY.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $2.0T
Discretionary AUM: $1.4T
Non-discretionary AUM: $527.37B
Discretionary accounts: 2,159,438
Non-discretionary accounts: 544,282
Total accounts: 2,703,720
AUM per client: $726K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	1,982	$13.87B
Insurance companies	1,387	$5.88B
Investment companies	4	$263.7M
Charitable organizations	39,751	$79.48B
High net worth individuals	43,631	$527.59B
Banking or thrift institutions	4,257	$6.39B
Pension and profit sharing plans	10,466	$74.86B
State or municipal government entities	1,423	$8.11B
Individuals (other than high net worth individuals)	2,600,707	$1.2T

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Fixed fees
Commissions
Other (described) — SEE SCHEDULE D MISCELLANEOUS
Performance-based fees
A percentage of assets under your management

Advisory activities

Other
Other advisory activities
Financial planning services
Selection of other advisers
Portfolio management for other
Portfolio management for businesses
Portfolio management for investment companies
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: Yes
Related Person Custody Clients: Yes
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11F
Q11G
Q11A1
Q11A2
Q11B1
Q11B2
Q11C1
Q11C2
Q11C4
Q11C5
Q11D2
Q11D4
Q11D5
Q11E1
Q11E2
Q11E4
Q11H1A
Q11H1B
Q11H1C

Filed changes

Date	Field	From	To	Change
Aug 17, 2026	Clients	2,703,720	2,703,608	decreased by112
Apr 1, 2026	Employees	29,200	29,481	increased by281
Apr 1, 2026	Clients	2,539,760	2,703,720	increased by163,960
Apr 1, 2026	AUM	$1,650,015,946,338	$1,961,887,313,229	increased by$311,871,366,891
Apr 1, 2026	Accounts	2,539,760	2,703,720	increased by163,960
May 1, 2025 vs Oct 1, 2022	Employees	26,500	29,200	increased by2,700
May 1, 2025 vs Oct 1, 2022	Clients	2,135,641	2,539,760	increased by404,119
May 1, 2025 vs Oct 1, 2022	AUM	$1,311,934,806,306	$1,650,015,946,338	increased by$338,081,140,032
May 1, 2025 vs Oct 1, 2022	Accounts	2,129,899	2,539,760	increased by409,861
Apr 1, 2022	Employees	26,000	26,500	increased by500
Apr 1, 2022	Clients	1,955,913	2,135,641	increased by179,728
Apr 1, 2022	AUM	$1,075,993,037,672	$1,311,934,806,306	increased by$235,941,768,634
Apr 1, 2022	Accounts	1,955,913	2,129,899	increased by173,986
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 “MORGAN STANLEY” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MORGAN STANLEY” 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.