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MORGAN STANLEY SMITH BARNEY LLC

dba MORGAN STANLEY · CRD 149777 · Registered Investment Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosureManages private funds

MORGAN STANLEY SMITH BARNEY LLC is a Registered Investment Adviser headquartered in PURCHASE, NY. The firm reports $1,961,887,313,229 in regulatory assets under management across 2,703,720 accounts. It reports 20 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$1,434,514,399,680
Non-discretionary$527,372,913,549
Total RAUM$1,961,887,313,229
Accounts2,703,720

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 20 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 149777. adviserinfo.sec.gov/firm/summary/149777.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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