MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Latest filing: Sep 30, 2024 (30 days ago)

AUM

$1,271,593,679,276
16% change vs. 1 year ago
17% change vs. 3 years ago
59% change vs. 5 years ago
162% change vs. 10 years ago

Employee Count

34,934
-5% change vs. 1 year ago
-3% change vs. 3 years ago
-15% change vs. 5 years ago
-8% change vs. 10 years ago

Main Office

NEW YORK, NY
ONE BRYANT PARK, NEW YORK, NY, UNITED STATES, 10036

Client AUM

Discretion AUM
Discretionary $343.9
Non-Discretionary $927.7
Total $1,271.6
Client AUM
Retail $1,095.2
Pooled $0.0
Institutional $176.4
Total $1,271.6
Retail Accounts AUM
Individual 1,180,107 $274.1
Average Individual AUM $232,284
HNW 411,703 $821.1
Average HNW AUM $1,994,457
Retail Total 1,591,810 $1,095.2
Average Retail AUM $688,049

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK-NY-USA $1,259.0

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $1,271.6
Retail SMA AUM $1,095.2
Institutional SMA AUM $176.4
Asset Class % AUM
Equity Exch 35% $445.1
Equity Non-Exch 1% $12.7
Govt Agency 4% $50.9
Municipal 6% $76.3
Sovereign 0% $0.0
IG Credit 2% $25.4
HY Credit 1% $12.7
Derivatives 0% $0.0
Investment Companies 17% $216.2
Other Pools 29% $368.8
Cash 4% $50.9
Other 0% $0.0
Total 99% $1,258.9

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
MANAGED ACCOUNT ADVISORS LLC $691.9 142558
BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY $0.0 -
MERRILL LYNCH SECURITIES (THAILAND) LIMITED $0.0 broker-dealer -
MERRILL LYNCH FAR EAST LIMITED $0.0 broker-dealer -
MERRILL LYNCH MARKETS (AUSTRALIA) PTY. LIMITED $0.0 broker-dealer -
MERRILL LYNCH (AUSTRALIA) FUTURES LIMITED $0.0 broker-dealer -
MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY $0.0 broker-dealer -
MERRILL LYNCH LIFE AGENCY INC. (WASHINGTON) $0.0 -
MERRILL LYNCH CANADA INC. $0.0 broker-dealer -
MERRILL LYNCH LIFE AGENCY INC. (VIRGIN ISLANDS) $0.0 -
BANK OF AMERICA YATIRIM BANK A.S. $0.0 broker-dealer -
MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA $0.0 broker-dealer -
MERRILL LYNCH S.A. CORRETORA DE TITUTOS E VALORES MOBILIARIOS $0.0 broker-dealer -
MERRILL LYNCH (ASIA PACIFIC) LIMITED $0.0 broker-dealer -
MERRILL LYNCH LIFE AGENCY INC. (PUERTO RICO) $0.0 -
BANK OF AMERICA MERRILL LYNCH BANCO MULTIPLO S.A. $0.0 -
MERRILL LYNCH CORREDORES DE BOLSA, SPA $0.0 broker-dealer -
PT MERRILL LYNCH SEKURITAS INDONESIA $0.0 broker-dealer -
MERRILL LYNCH INTERNATIONAL $0.0 broker-dealer -
MERRILL LYNCH (SINGAPORE) PTE LTD. $0.0 broker-dealer -
MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED $0.0 broker-dealer -
MERRILL LYNCH SOUTH AFRICA (PROPRIETARY) LIMITED $0.0 broker-dealer -
BOFA SECURITIES EUROPE SA $0.0 broker-dealer -
BANK OF AMERICA MALAYSIA BERHAD $0.0 -
BOFA SECURITIES JAPAN CO., LTD. $0.0 broker-dealer -
MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH $0.0 broker-dealer -
MERRILL LYNCH ARGENTINA S.A. $0.0 broker-dealer -
MERRILL LYNCH SECURITIES (TAIWAN) LTD. $0.0 -
U.S. TRUST COMPANY OF DELAWARE $0.0 trust company -
BOFA SECURITIES INDIA LIMITED $0.0 broker-dealer -
BANK OF AMERICA SINGAPORE LIMITED $0.0 broker-dealer -
MERRILL LYNCH BANK AND TRUST COMPANY (CAYMAN) LIMITED $0.0 broker-dealer, trust company -
BOFA SECURITIES, INC. $0.0 broker-dealer 283942
BANK OF AMERICA CALIFORNIA, NATIONAL ASSOCIATION $0.0 -
BANK OF AMERICA, NATIONAL ASSOCIATION $0.0 broker-dealer -
BANC OF AMERICA SECURITIES ASIA LIMITED $0.0 broker-dealer -
MERRILL LYNCH LIFE AGENCY INC. (MONTANA) $0.0 -
BOFA SECURITIES PRIME, INC. $0.0 broker-dealer 316331
BANK OF AMERICA MEXICO, S.A., INSTITUCION DE BANCA MULTIPLE $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

12 active

Name Title
GUARDINO, JOSEPH ANTHONY JR CHIEF OPERATIONS OFFICER & FINOP
HANS, LINDSAY DENARDO STATE DESIGNATED PRINCIPAL & DIRECTOR
LEVINE, ARON DANIEL DIRECTOR
SABBIA, LORNA ROSE DIRECTOR
HEATON, DAVID CARLETON JR CHIEF LEGAL OFFICER
ALAM, SYED FARUQE CHIEF FINANCIAL OFFICER
SCHIMPF, ERIC A DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL
KARAM, MICHAEL RICHARD CHIEF COMPLIANCE OFFICER
FAHMY, NANCY MONIR DIRECTOR

ADVDB.CO • SOURCE: SEC

Representatives

25,629 active representatives found, showing 20 random

Name City State Exams Designations
JEFFREY COHEN NEW YORK NY S63|1997-02-26|S65|2000-03-30
WILLIAM PEACOCK NEW YORK NY S63|2013-04-18|S65|2013-05-07|S66|2017-07-14
BRANDON MURRAY NEW YORK NY S66|2019-02-26
NANCY SAWYER NEW YORK NY S66|2005-01-19
DREW MCCLAIR NEW YORK NY S66|2019-11-06
CHRISTINE SMITH NEW YORK NY S63|1996-03-25|S65|2008-07-10
AMANDA WOLFE NEW YORK NY S63|1990-04-03|S65|2016-05-23
ABELARDO MIRANDA NEW YORK NY S63|1992-05-22|S65|2006-11-13
YANIRA GUERRERO NEW YORK NY S66|2021-12-31
RONY NEHRING INTERIANO NEW YORK NY S63|2021-04-21|S65|2022-05-23
RYAN MCGEE NEW YORK NY S63|1997-08-28|S65|2005-06-07
JEFFREY DINKEL NEW YORK NY S66|2016-02-09
MICHAIL BORISOV NEW YORK NY S66|2014-02-17
JOVANNA MUKADDES NEW YORK NY S66|2012-07-03
MAUREEN MACK NEW YORK NY S63|2008-02-07|S66|2016-04-26
SANDRA LASSBERG NEW YORK NY S63|1986-03-13
JACK SHAW NEW YORK NY S63|1995-10-18|S66|2009-10-02
JOSEFINA ANG NEW YORK NY S63|1999-08-28|S65|2000-04-15
SHERI TSUBATA NEW YORK NY S66|2008-11-01
THOMAS HUNT NEW YORK NY S66|2005-12-06

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $1,271.6 $0.0 0% 34,934 0 0%
2024-04-02 $1,271.6 $0.0 0% 34,934 0 0%
2023-04-04 $1,093.7 $177.9 16% 36,687 -1,753 -5%
2022-04-01 $1,283.8 -$12.2 -1% 34,906 28 0%
2021-04-05 $1,084.5 $187.1 17% 36,025 -1,091 -3%
2020-04-01 $962.1 $309.5 32% 36,383 -1,449 -4%
2019-04-01 $797.3 $474.3 59% 41,217 -6,283 -15%
2018-04-02 $819.8 $451.8 55% 40,146 -5,212 -13%
2017-04-01 $639.6 $632.0 99% 39,343 -4,409 -11%
2016-04-01 $575.3 $696.3 121% 39,631 -4,697 -12%
2015-04-01 $560.7 $710.9 127% 37,900 -2,966 -8%
2014-04-01 $485.5 $786.1 162% 37,900 -2,966 -8%
2013-04-01 $321.4 $950.2 296% 40,600 -5,666 -14%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-06/09/1993, AL-12/18/2000, AR-01/17/1989, CA-07/08/1997, CO-01/01/1999, CT-08/19/1997, DC-11/27/1993, DE-08/28/2003, FL-08/30/1982, GA-01/04/2001, HI-06/01/1989, IA-01/01/1999, ID-07/15/1991, IL-04/12/1991, IN-11/08/2000, KS-12/30/1997, KY-04/12/2001, LA-10/11/2001, MD-11/14/1990, ME-01/04/2001, MI-01/04/2001, MN-01/05/1999, MO-04/12/2001, MS-04/24/2001, MT-12/26/1997, NC-10/23/2000, ND-01/04/2001, NE-01/26/1998, NH-01/04/2001, NJ-08/25/1995, NM-11/24/1987, NV-11/21/1990, NY-01/04/2001, OH-05/27/1999, OK-01/01/1998, PA-06/15/2010, RI-01/01/1993, SC-11/05/1992, SD-10/12/1980, TN-10/29/2001, TX-01/01/1956, UT-04/09/1993, VA-08/20/1997, VI-04/25/2005, VT-01/04/2001, WA-01/01/1990, WI-02/02/1995, WV-01/26/1998, WY-07/17/2017
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV