← Directory
MORGAN STANLEY
Legal name: MORGAN STANLEY SMITH BARNEY LLC
CRD 149777File 801-70103
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 7, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$1.96T
Top 10% of cohort (national)
Discretionary AUM
$1.43T
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
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.96T
- Discretionary AUM
- $1.43T
- 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 | $1.25T |
Compensation & activities
ADV Items 5E, 5GCompensation
- 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
- Q11H2
- Q11H1A
- Q11H1B
- Q11H1C
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 2703720 | 2703608 |
| Aug 12, 2026 | Registration | — | APPROVED |
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.