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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691File 801-14235
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 3, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$1.78T
Top 10% of cohort (national)
Discretionary AUM
$441.30B
Non-discretionary $1.34T
Clients
1,838,965
3,253,265 accounts
Employees
32,960
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Dec 8, 1978
- Principal office
- ONE BRYANT PARK, NEW YORK, NY, 10036
- Phone
- 800-637-7455
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.78T
- Discretionary AUM
- $441.30B
- Non-discretionary AUM
- $1.34T
- Discretionary accounts
- 713,174
- Non-discretionary accounts
- 2,540,091
- Total accounts
- 3,253,265
- AUM per client
- $969K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 22,807 | $131.16B |
| Insurance companies | 246 | $5.95B |
| Charitable organizations | 6,759 | $43.03B |
| High net worth individuals | 521,763 | $1.23T |
| Pension and profit sharing plans | 17,422 | $58.95B |
| Individuals (other than high net worth individuals) | 1,269,968 | $313.53B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- 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- Q11F
- Q11G
- Q11A1
- Q11A2
- Q11B1
- Q11B2
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E2
- Q11E4
- Q11H2
- Q11H1A
- Q11H1B
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 1838984 | 1838965 |
| 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.