AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $528.4 |
| Non-Discretionary | $6.6 |
| Total | $535.0 |
| Client | AUM |
|---|---|
| Retail | $0.2 |
| Pooled | $437.5 |
| Institutional | $97.4 |
| Total | $535.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 7 | $0.2 |
| Average HNW AUM | $25,148,176 | |
| Retail Total | 7 | $0.2 |
| Average Retail AUM | $25,148,176 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $30.9 |
| MORGAN STANLEY SMITH BARNEY LLC | PURCHASE-NY-USA | $13.6 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $12.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $97.6 |
| Retail SMA AUM | $0.2 |
| Institutional SMA AUM | $97.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 41% | $40.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 10% | $9.8 |
| Municipal | 4% | $3.9 |
| Sovereign | 4% | $3.9 |
| IG Credit | 16% | $15.6 |
| HY Credit | 5% | $4.9 |
| Derivatives | 1% | $1.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 4% | $3.9 |
| Cash | 8% | $7.8 |
| Other | 6% | $5.9 |
| Total | 99% | $96.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY LLC | $1,402.4 | broker-dealer | 149777 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | $475.1 | 114310 | |
| MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED | $165.9 | 105922 | |
| BOSTON MANAGEMENT AND RESEARCH | $111.0 | 104853 | |
| EATON VANCE MANAGEMENT | $63.0 | 104859 | |
| CALVERT RESEARCH AND MANAGEMENT | $38.4 | 285127 | |
| MORGAN STANLEY AIP GP LP | $34.2 | 117050 | |
| ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C. | $33.2 | 116719 | |
| EATON VANCE ADVISERS INTERNATIONAL LTD. | $25.8 | 283733 | |
| MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY | $12.2 | 126896 | |
| MORGAN STANLEY EATON VANCE CLO MANAGER LLC | $5.7 | 309263 | |
| MSIM FUND MANAGEMENT (IRELAND) LIMITED | $0.0 | - | |
| MORGAN STANLEY INVESTMENT MANAGEMENT (ACD) LIMITED | $0.0 | - | |
| MS ALTERNATIVES HOLDING D INC. | $0.0 | - | |
| MORGAN STANLEY CAYMAN GP LTD. | $0.0 | - | |
| EATON VANCE TRUST COMPANY | $0.0 | trust company | - |
| MSIM GP INC. | $0.0 | - | |
| E*TRADE CAPITAL MANAGEMENT, LLC | $0.0 | 42159 | |
| MORGAN STANLEY SAUDI ARABIA | $0.0 | broker-dealer | - |
| EATON VANCE DISTRIBUTORS, INC. | $0.0 | broker-dealer | 37731 |
| MORGAN STANLEY MÉXICO, CASA DE BOLSA, S.A. DE C.V. | $0.0 | broker-dealer | - |
| MORGAN STANLEY ASIA LIMITED | $0.0 | broker-dealer | - |
| MSCVF I GP LP | $0.0 | - | |
| MORGAN STANLEY & CO. INTERNATIONAL PLC | $0.0 | broker-dealer | - |
| MORGAN STANLEY CANADA LIMITED | $0.0 | broker-dealer | - |
| MORGAN STANLEY DISTRIBUTION, INC. | $0.0 | broker-dealer | 30344 |
| MORGAN STANLEY PRIVATE BANK NATIONAL ASSOCIATION | $0.0 | - | |
| MORGAN STANLEY & CO. LLC | $0.0 | broker-dealer, municipal advisor | 8209 |
| MORGAN STANLEY INVESTMENT MANAGEMENT PRIVATE LIMITED | $0.0 | - | |
| MSIM DELAWARE GP INC. | $0.0 | - | |
| MSCVF I GP INC | $0.0 | - | |
| MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD. | $0.0 | 126071 | |
| MORGAN STANLEY FIXED INCOME GP INC. | $0.0 | - | |
| MORGAN STANLEY MUFG SECURITIES CO., LTD. | $0.0 | broker-dealer | - |
| MORGAN STANLEY BANK, N.A. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
| Name | Title |
|---|---|
| CHANG YU, STEFANIE, VANESSA | GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR |
| RIOS, ANITA, PARSHOTTAM | TREASURER & EXECUTIVE DIRECTOR |
| ALI, JEANNINE, VIENNA | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR |
| KUZMANOV, ANTON, BOGDANOV | DIRECTOR & MANAGING DIRECTOR |
| SEGAL, TATIANA, VLADIMIR | DIRECTOR & MANAGING DIRECTOR |
| DOWNES, DEIDRE, AISHA | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR |
| BUHAIN WINSLOW, LISA | DIRECTOR & MANAGING DIRECTOR |
| CHAPPUIS, JACQUES, PHILPPE | CO-PRESIDENT & MANAGING DIRECTOR |
| HUNEKE, BENJAMIN, CORDT | CO-PRESIDENT & MANAGING DIRECTOR |
| KAYNE, ERIC | CHIEF OPERATING OFFICER, DIRECTOR & MANAGING DIRECTOR |
ADVDB.CO • SOURCE: SEC
22 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| GIANNI CAVALIERI | NEW YORK | NY | S66|2010-12-06 | ||||||
| ANDRE CARRERA | NEW YORK | NY | S66|2019-09-13 | ||||||
| LESLIE DELANY | NEW YORK | NY | S66|2007-06-11 | ||||||
| JOSEPH MARICH | NEW YORK | NY | S66|2003-12-09 | ||||||
| KENTO KAIJIMA | NEW YORK | NY | S66|2020-08-28 | ||||||
| KEVIN CLARE | NEW YORK | NY | S66|2018-11-16 | ||||||
| THOMAS O'BRIEN | NEW YORK | NY | S66|2015-12-14|S63|2014-07-14 | ||||||
| SARA MCHUGH | NEW YORK | NY | S63|2017-10-04 | ||||||
| PHILLIP KIM | NEW YORK | NY | S66|2009-05-20 | ||||||
| MICHAEL MORAN | NEW YORK | NY | S66|2014-12-23 | ||||||
| KATHERINE MORLEY | NEW YORK | NY | S66|2017-12-07 | ||||||
| PATRICK DOYLE | NEW YORK | NY | S66|2015-12-08 | CHARTERED FINANCIAL ANALYST | |||||
| MARIE KLEIN | NEW YORK | NY | S66|2018-07-06|S63|2018-05-11 | ||||||
| ALEXANDER HEITMAN | NEW YORK | NY | S66|2019-03-01 | ||||||
| SARAH RAINEY | NEW YORK | NY | S66|2015-10-28 | ||||||
| SHAWN HOLLOWAY | NEW YORK | NY | S66|2010-08-17 | ||||||
| BRIAN LEUCHTENBURG | NEW YORK | NY | S66|2003-10-29 | ||||||
| JUSTINE GAZIANO | NEW YORK | NY | S66|2020-09-11 | ||||||
| MATTHEW FUNK | NEW YORK | NY | S66|2018-10-01 | ||||||
| MICHAEL MCTYRE | NEW YORK | NY | S63|1997-03-13|S65|1997-08-07|S66|2006-02-09 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $535.0 | $0.0 | 0% | 492 | 0 | 0% |
| 2024-04-02 | $535.0 | $0.0 | 0% | 492 | 0 | 0% |
| 2023-04-04 | $490.6 | $44.5 | 9% | 551 | -59 | -11% |
| 2022-04-01 | $632.6 | -$97.6 | -15% | 438 | 54 | 12% |
| 2021-04-05 | $563.0 | -$28.0 | -5% | 444 | 48 | 11% |
| 2020-04-01 | $382.3 | $152.7 | 40% | 453 | 39 | 9% |
| 2019-04-01 | $299.6 | $235.5 | 79% | 883 | -391 | -44% |
| 2018-04-02 | $302.5 | $232.5 | 77% | 860 | -368 | -43% |
| 2017-04-01 | $277.1 | $257.9 | 93% | 893 | -401 | -45% |
| 2016-04-01 | $272.3 | $262.7 | 96% | 723 | -231 | -32% |
| 2015-04-01 | $257.4 | $277.7 | 108% | 719 | -227 | -32% |
| 2014-04-01 | $234.6 | $300.4 | 128% | 751 | -259 | -34% |
| 2013-04-01 | $209.0 | $326.0 | 156% | 793 | -301 | -38% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AK-07/17/1991, AL-02/12/1992, AR-02/19/1992, AZ-08/08/1994, CA-08/19/1981, CO-04/03/2000, CT-09/11/1997, DC-12/01/1993, DE-06/30/2003, FL-04/22/1981, GA-02/02/2007, HI-02/05/1992, IA-02/05/2007, ID-01/01/1992, IL-05/20/1981, IN-08/06/2001, KS-12/31/1991, KY-01/03/1992, LA-10/11/2001, MA-04/14/1994, MD-01/01/1992, ME-11/08/1991, MI-04/17/2001, MN-02/23/1987, MO-09/16/1991, MS-10/27/1997, MT-10/23/1991, NC-04/17/2001, ND-02/02/2007, NE-02/02/2007, NH-04/21/1981, NJ-03/05/1981, NM-08/21/1991, NV-09/08/1991, NY-07/18/1986, OH-08/08/2000, OK-01/01/1998, OR-05/15/1991, PA-11/16/1981, PR-05/17/1993, RI-01/01/1993, SC-10/08/1991, SD-08/22/1991, TN-01/01/1998, TX-08/16/1983, UT-12/05/1991, VA-05/02/1988, VT-12/22/1994, WA-10/05/1991, WI-02/02/2007, WV-08/21/1989, WY-03/30/2020 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV