Investment adviser · CRD 149777
MORGAN STANLEY
Investment adviser filing (IA)
MORGAN STANLEY SMITH BARNEY LLC
PURCHASE, NY, United States · Form ADV filed Sep 28, 2026
- Regulatory AUM
- $1.96T Form ADV · Item 5.F
- Client accounts
- 2,703,720 Accounts, not individual clients
- Employees
- 29,481 Reported in this filing
- Advisory professionals
- 13,000 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Individuals | 2,600,707 | $1,245,388,422,212 | 63.5% |
| High-net-worth individuals | 43,631 | $527,589,564,614 | 26.9% |
| Charities | 39,751 | $79,476,184,372 | 4.1% |
| Retirement plans | 10,466 | $74,862,543,476 | 3.8% |
| Corporations & businesses | 1,982 | $13,874,367,326 | 0.7% |
| Government entities | 1,423 | $8,108,465,859 | 0.4% |
| Banks & thrifts | 4,257 | $6,389,373,258 | 0.3% |
| Insurance companies | 1,387 | $5,876,245,823 | 0.3% |
| Investment companies | 4 | $263,737,897 | 0.0% |
| Other clients | 112 | $58,408,392 | 0.0% |
Filing source
Form ADV 2135232 · Sep 28, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
No detailed fund records are available here. Funds may be referenced under another reporting adviser in Schedule D 7.B.(2); this does not establish that the adviser has no funds.
Services & filing details
Most recent filing: Sep 28, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Investment company portfolio management · Business portfolio management · Pension consulting · Selection of other advisers · Educational seminars
Compensation
Percentage of assets · Fixed · Commissions · Performance-based
Principal office
2000 WESTCHESTER AVENUEPURCHASE, NY, 10577-2530, United States
CRD 149777
Filing source
Form ADV 2135232 · Sep 28, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.