AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $433.7 |
Non-Discretionary | $41.4 |
Total | $475.1 |
Client | AUM |
---|---|
Retail | $239.9 |
Pooled | $38.2 |
Institutional | $197.0 |
Total | $475.1 |
Retail | Accounts | AUM |
---|---|---|
Individual | 105,236 | $45.3 |
Average Individual AUM | $430,060 | |
HNW | 50,213 | $194.7 |
Average HNW AUM | $3,876,520 | |
Retail Total | 155,449 | $239.9 |
Average Retail AUM | $1,543,333 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $89.3 |
MORGAN STANLEY SMITH BARNEY LLC | PURCHASE-NY-USA | $61.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $436.9 |
Retail SMA AUM | $239.9 |
Institutional SMA AUM | $197.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 51% | $222.8 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 7% | $30.6 |
Municipal | 11% | $48.1 |
Sovereign | 0% | $0.0 |
IG Credit | 3% | $13.1 |
HY Credit | 0% | $0.0 |
Derivatives | 26% | $113.6 |
Investment Companies | 1% | $4.4 |
Other Pools | 0% | $0.0 |
Cash | 1% | $4.4 |
Other | 0% | $0.0 |
Total | 100% | $436.9 |
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 |
MORGAN STANLEY INVESTMENT MANAGEMENT INC. | $535.0 | 110353 | |
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 INVESTMENT MANAGEMENT (JAPAN) CO., LTD. | $0.0 | - | |
EATON VANCE TRUST COMPANY | $0.0 | trust company | - |
MORGAN STANLEY DISTRIBUTION, INC. | $0.0 | broker-dealer | 30344 |
EATON VANCE MANAGEMENT (INTERNATIONAL) LIMITED | $0.0 | broker-dealer | - |
MORGAN STANLEY & CO. LLC | $0.0 | broker-dealer, municipal advisor | 8209 |
EATON VANCE DISTRIBUTORS, INC. | $0.0 | broker-dealer | 37731 |
MSIM FUND MANAGEMENT (IRELAND) LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
8 active
Name | Title |
---|---|
LEE, THOMAS, BERNARD | CO-PRESIDENT, CHIEF INVESTMENT OFFICER |
KAPILA, RANJIT | CO-PRESIDENT, CHIEF TECHNOLOGY OFFICER AND HEAD OF OPERATIONS |
KIM, CINDY, MASAKO | CHIEF COMPLIANCE OFFICER |
HAMMES, BENJAMIN, PATRICK | HEAD OF DERIVATIVES ADVISORY COMPLIANCE |
BUTLER, REUBEN, WITHERFIELD | CHIEF ADMINISTRATIVE OFFICER |
ADVDB.CO • SOURCE: SEC
8 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
BRYAN SANDVIG | SEATTLE | WA | S66|2011-09-26 | ||||||
CHRISTOPHER POWERS | SEATTLE | WA | S66|2011-11-21 | ||||||
LAUREN MURPHY | SEATTLE | WA | S66|2010-07-13 | ||||||
NATHAN CHRISTOFFERSON | SEATTLE | WA | S66|2013-06-07 | ||||||
KEVIN LYNYAK | SEATTLE | WA | S63|1996-02-15|S65|2017-08-07 | ||||||
CHELSEA COWLEY | SEATTLE | WA | S65|2021-10-26 | ||||||
DENISE JAYLENE HOWARD | SEATTLE | WA | S66|2005-02-17 | CHARTERED FINANCIAL ANALYST | |||||
DEVLIN TIMONY-BALYEAT | SEATTLE | WA | S66|2018-03-15 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $475.1 | $0.0 | 0% | 877 | 0 | 0% |
2024-04-02 | $475.1 | $0.0 | 0% | 877 | 0 | 0% |
2023-04-04 | $386.3 | $88.8 | 23% | 836 | 41 | 5% |
2022-04-01 | $428.9 | $46.2 | 11% | 669 | 208 | 31% |
2021-04-05 | $312.9 | $162.2 | 52% | 600 | 277 | 46% |
2020-04-01 | $266.0 | $209.1 | 79% | 512 | 365 | 71% |
2019-04-01 | $224.3 | $250.8 | 112% | 455 | 422 | 93% |
2018-04-02 | $225.1 | $250.0 | 111% | 392 | 485 | 124% |
2017-04-01 | $178.6 | $296.5 | 166% | 351 | 526 | 150% |
2016-04-01 | $147.1 | $328.0 | 223% | 304 | 573 | 188% |
2015-04-01 | $132.6 | $342.5 | 258% | 288 | 589 | 205% |
2014-04-01 | $115.7 | $359.4 | 311% | 256 | 621 | 243% |
2013-04-01 | $91.8 | $383.3 | 418% | 205 | 672 | 328% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
WA, AK-02/03/2006, AL-01/31/2005, AR-02/01/2005, AZ-09/10/2001, CA-09/10/2001, CO-09/10/2001, CT-09/10/2001, DC-09/18/2001, DE-02/06/2006, FL-10/10/2001, GA-09/10/2001, HI-07/03/2013, IA-01/21/2004, ID-01/27/2006, IL-10/09/2001, IN-05/20/1999, KS-01/27/2006, KY-01/27/2006, LA-01/31/2005, MA-04/20/1999, MD-09/10/2001, ME-01/27/2006, MI-04/17/1998, MN-02/10/2003, MO-09/10/2001, MS-01/27/2006, MT-09/10/2001, NC-09/10/2001, ND-01/27/2006, NE-01/27/2006, NH-01/31/2005, NJ-07/07/1999, NM-01/27/2006, NV-01/27/2006, NY-10/19/2001, OH-09/10/2001, OK-01/27/2006, OR-09/17/2001, PA-06/15/2001, PR-01/27/2006, RI-01/27/2006, SC-09/10/2001, SD-01/30/2006, TN-02/10/2003, TX-07/06/1999, UT-01/27/2006, VA-09/10/2001, VI-07/03/2013, VT-01/27/2006, WA-01/02/1995, WI-02/10/2003, WV-01/27/2006, WY-01/29/2019 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
OTHER ACTIVITIES |
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV