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Morgan Stanley Smith Barney

Morgan Stanley Smith Barney is a RIA based in New York, NY with $393M in AUM and with 10 advisors nationwide.

Advisors (10)

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Name Start Date
Angstadt, Christian, M Dec 2011
Brodsky, Jeffrey, S Sep 2009
Bruno, James, V Dec 2011
Charles Dean Johnston Sep 2009
Gorman Taylor, Jessica, G. Sep 2009
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*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$393.4M
Total Assets
18
Accounts
$21.9M
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Morgan Stanley Smith Barney Holdings LLC (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Timothy Gerard Hansen Chief Compliance Officer 03/01/2011
Bruno, James, V Director 12/01/2011
Walter John Davis Director 12/01/2011
Colbert G Narcisse Director 12/01/2011
Michelle Oroschakoff Director 12/01/2011

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
525 Fifth Avenue, 13th Floor
New York , NY 10036
Phone Number: 212-296-1223

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: (6) Performance-based fees