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Morgan Stanley Smith Barney LLC




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ETF Holdings

Name Assets
Victory CEMP US 500 Enhanced Volatility Wtd Index ETF $66,791,000
WisdomTree SmallCap Earnings Fund $55,321,000
UBS Exchange Traded Access Securities (E-TRACS) Dow Jones-UBS Commodity Index Total Return $49,711,000
Vanguard Russell 1000 Value Index Fund $43,394,000
Alps International Sector Dividend Dogs ETF $40,016,000
iShares Core 1-5 Year USD Bond ETF $39,630,000
Vanguard Intermediate-Term Government Bond Index Fund $38,759,000
PowerShares DWA SmallCap Momentum Portfolio $32,540,000
SPDR SSgA Multi-Asset Real Return ETF $31,221,000
Guggenheim BulletShares 2022 Corporate Bond ETF $29,852,000
iShares Morningstar Small-Cap Value ETF $28,202,000
BLDRS Developed Markets 100 ADR Index Fund $27,466,000
WisdomTree Earnings 500 Fund $26,964,000
ProShares Short QQQ $26,748,000
First Trust Chindia ETF $25,662,000
AdvisorShares Dorsey Wright ADR ETF $24,252,000
First Trust Germany AlphaDEX Fund $20,112,000
Vanguard S&P Small-Cap 600 Index Fund $19,233,000
PowerShares KBW High Dividend Yield Financial Portfolio $19,225,000
SPDR S&P 500 Value ETF $18,961,000
IQ Merger Arbitrage ETF $18,084,000
First Trust Switzerland AlphaDEX Fund $16,510,000
Guggenheim S&P 500 Equal Weight Financials ETF $16,134,000
iShares Morningstar Mid-Cap Value ETF $15,287,000
Fidelity MSCI Information Technology Index ETF $14,983,000
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund $14,835,000
Guggenheim BulletShares 2020 High Yield Corporate Bond ETF $14,298,000
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $13,330,000
PowerShares DWA Healthcare Momentum Portfolio $12,857,000
WisdomTree Total Dividend Fund $12,754,000
Schwab Short-Term US Treasury ETF $12,444,000
First Trust Natural Gas ETF $11,587,000
iShares MSCI Europe Small-Cap ETF $9,647,000
iShares Morningstar Large-Cap Value ETF $9,481,000
SPDR S&P 600 Small Cap ETF $9,125,000
SPDR S&P Global Dividend ETF $9,047,000
iShares MSCI Denmark Capped ETF $8,939,000
Guggenheim S&P 500 Equal Weight Industrials ETF $8,205,000
PowerShares Golden Dragon China Portfolio $8,159,000
iShares MSCI Finland Capped ETF $8,048,000
WisdomTree Emerging Markets Quality Dividend Growth Fund $8,032,000
IQ Global Resources ETF $7,989,000
Fidelity MSCI Health Care Index ETF $7,424,000
PowerShares Russell Midcap Pure Growth Portfolio $7,243,000
iShares International High Yield Bond ETF $7,179,000
PowerShares DWA Technology Momentum Portfolio $6,998,000
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund $6,932,000
iShares iBonds Dec 2021 Term Muni Bond ETF $6,913,000
PowerShares KBW Premium Yield Equity REIT Portfolio $6,860,000
SPDR SSGA US Large Cap Low Volatility Index ETF $6,659,000
iShares Morningstar Mid-Cap Growth ETF $6,159,000
iShares iBonds Dec 2022 Term Muni Bond ETF $5,696,000
PowerShares FTSE RAFI Developed Markets ex-US Small-Mid Portfolio $4,605,000
iShares 1-3 Year International Treasury Bond ETF $4,600,000
PowerShares Dividend Achievers Portfolio $4,581,000
PowerShares Dynamic Networking Portfolio $4,419,000
SPDR S&P 1500 Momentum TILT ETF $4,295,000
SPDR Bloomberg Barclays Short Term Treasury ETF $4,255,000
Global X China Consumer ETF $4,217,000
PowerShares Russell 1000 Equal Weight Portfolio $4,195,000
ProShares Short MSCI Emerging Markets $4,142,000
iShares Core 10+ Year USD Bond ETF $3,773,000
VanEck Vectors Steel ETF $3,680,000
PowerShares DWA Consumer Staples Momentum Portfolio $3,655,000
Fidelity MSCI Industrials Index ETF $3,307,000
PowerShares DWA Financial Momentum Portfolio $3,289,000
PowerShares DWA Energy Momentum Portfolio $3,186,000
PowerShares Russell Midcap Pure Value Portfolio $2,982,000
PowerShares Cleantech Portfolio $2,913,000
WisdomTree BofA Merrill Lynch High Yield Bond Zero Duration Fund $2,367,000
iShares MSCI Brazil Small-Cap ETF $2,354,000
UBS Exchange Traded Access Securities (E-TRACS) Alerian Natural Gas MLP Index $2,347,000
SPDR BofA Merrill Lynch Crossover Corporate Bond ETF $2,311,000
SPDR Bloomberg Barclays Mortgage Backed Bond ETF $2,268,000
Schwab Fundamental Emerging Markets Large Company Index ETF $2,116,000
PowerShares DWA Basic Materials Momentum Portfolio $2,102,000
WisdomTree Global ex-US Quality Dividend Growth Fund $2,085,000
ProShares UltraPro S&P500 $2,067,000
PowerShares Global Short Term High Yield Bond Portfolio $2,045,000
iShares Asia/Pacific Dividend ETF $1,974,000
iShares Global Clean Energy ETF $1,867,000
SPDR SSGA US Small Cap Low Volatility Index ETF $1,776,000
iShares Russell Top 200 ETF $1,763,000
C-Tracks Exchange-Traded Notes Citi Miller/Howard MLP Fundamental Index $1,721,000
SPDR Bloomberg Barclays Short Term International Treasury Bond ETF $1,689,000
PowerShares Russell 2000 Pure Growth Portfolio $1,619,000
WisdomTree Global High Dividend Fund $1,561,000
PowerShares DWA Consumer Cyclicals Momentum Portfolio $1,440,000
PIMCO Broad US TIPS Index Exchange-Traded Fund $1,394,000
Direxion Daily S&P 500 Bull 3X Shares $1,364,000
PowerShares Russell 2000 Pure Value Portfolio $1,270,000
PowerShares FTSE RAFI Asia Pacific ex-Japan Portfolio $1,256,000
PIMCO 1-3 Year US Treasury Index Exchange Traded Fund $1,231,000
First Trust Developed Markets ex-US Small Cap AlphaDEX Fund $1,165,000
Direxion Daily Semiconductor Bull 3X Shares $1,147,000
First Trust NASDAQ Clean Edge Green Energy Index Fund $1,105,000
iShares GNMA Bond ETF $1,086,000
First Trust Latin America AlphaDEX Fund $942,000
Direxion Daily FTSE China Bull 3X Shares $849,000
United States Brent Oil Fund, LP $846,000
WisdomTree Emerging Currency Strategy Fund $844,000
First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund $812,000
PIMCO 15+ Year US TIPS Index Exchange-Traded Fund $794,000
ProShares Short Financials $764,000
ProShares UltraPro Russell2000 $761,000
WisdomTree Asia Pacific ex-Japan Fund $729,000
Global X NASDAQ China Technology ETF $727,000
iShares Government/Credit Bond ETF $715,000
ProShares UltraShort Russell2000 $714,000
WisdomTree Total Earnings Fund $691,000
Guggenheim Investments CurrencyShares British Pound Sterling Trust $684,000
PowerShares DWA NASDAQ Momentum Portfolio $655,000
ETFS Physical Silver Shares $648,000
VanEck Vectors Environmental Services ETF $640,000
First Trust Value Line 100 Exchange-Traded Fund $622,000
iShares MSCI Global Silver Miners ETF $573,000
PowerShares DB Gold Fund $571,000
Fidelity MSCI Materials Index ETF $554,000
PowerShares DB US Dollar Index Bearish Fund $536,000
Cohen & Steers Global Realty Majors ETF $531,000
Schwab Fundamental US Large Company Index ETF $518,000
PowerShares Chinese Yuan Dim Sum Bond Portfolio $501,000
Fidelity MSCI Telecommunications Services Index ETF $434,000
Guggenheim MSCI Emerging Markets Equal Country Weight ETF $418,000
WisdomTree Emerging Markets Corporate Bond Fund $413,000
First Trust Global Engineering and Construction ETF $406,000
ProShares UltraShort Bloomberg Crude Oil $396,000
First Trust United Kingdom AlphaDEX Fund $395,000
ProShares Short High Yield $369,000
Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF $367,000
PowerShares Zacks Micro Cap Portfolio $320,000
First Trust South Korea AlphaDEX Fund $317,000
PowerShares Global Agriculture Portfolio $293,000
IQ Global Agribusiness Small Cap ETF $287,000
iShares Emerging Markets Infrastructure ETF $263,000
ProShares RAFI Long/Short $247,000
SPDR Bloomberg Barclays 1-10 Year TIPS ETF $245,000
Schwab Fundamental International Large Company Index ETF $243,000
ProShares UltraShort 7-10 Year Treasury $235,000
PowerShares WilderHill Progressive Energy Portfolio $202,000
iShares MSCI China Small-Cap ETF $197,000
iShares iBonds Mar 2023 Term Corporate ex-Financials ETF $195,000
IQ Real Return ETF $186,000
Schwab Fundamental International Small Company Index ETF $179,000
SPDR S&P 1500 Value TILT ETF $170,000
PowerShares DB Silver Fund $164,000
IQ Hedge Market Neutral Tracker ETF $162,000
First Trust Total US Market AlphaDEX ETF $160,000
AdvisorShares Newfleet Multi-Sector Income ETF $150,000
Guggenheim International Multi-Asset Income ETF $147,000
ProShares UltraPro Dow30 $137,000
First Trust Brazil AlphaDEX Fund $133,000
Guggenheim Investments CurrencyShares Swedish Krona Trust $130,000
BLDRS Asia 50 ADR Index Fund $129,000
PowerShares Dynamic Retail Portfolio $119,000
Global X MSCI Colombia ETF $117,000
ProShares Ultra Technology $113,000
United States Diesel-Heating Oil Fund, LP $112,000
ProShares Ultra Gold $112,000
ProShares Ultra Real Estate $109,000
ProShares Ultra Dow30 $104,000
Schwab Fundamental US Broad Market Index ETF $101,000
Direxion Daily Technology Bull 3X Shares $95,000
First Trust Australia AlphaDEX Fund $89,000
iShares MSCI Norway Capped ETF $81,000
ProShares Ultra MSCI EAFE $78,000
Wilshire US REIT ETF $76,000
BLDRS Europe Select ADR Index Fund $69,000
IQ Hedge Macro Tracker ETF $67,000
First Trust Taiwan AlphaDEX Fund $66,000
Cambria Shareholder Yield ETF $61,000
Direxion Daily Japan Bull 3X Shares $61,000
First Trust Canada AlphaDEX Fund $59,000
Wilshire Micro-Cap ETF $58,000
Global X China Financials ETF $53,000
iShares MSCI Global Energy Producers ETF $52,000
ProShares UltraShort Gold $48,000
ProShares Ultra Oil & Gas $41,000
UBS Exchange Traded Access Securities (E-TRACS) 2x Leveraged Long Wells Fargo BDC Index $39,000
ProShares UltraPro Short 20+ Year Treasury $38,000
ProShares Ultra Health Care $34,000
ProShares UltraPro Nasdaq Biotechnology ETF $29,000
ProShares UltraShort MSCI Brazil Capped $29,000
Direxion Daily Homebuilders & Supplies Bull 3X Shares $24,000
PowerShares Emerging Markets Infrastructure Portfolio $24,000
ProShares UltraShort Semiconductors $17,000
First Trust Hong Kong AlphaDEX Fund $16,000
Guggenheim China All-Cap ETF $16,000
ProShares Ultra 7-10 Year Treasury $15,000
Direxion Daily Retail Bull 3X Shares $14,000
ProShares UltraShort Silver $11,000
Direxion Daily Real Estate Bull 3X Shares $10,000
Direxion Daily Real Estate Bear 3X Shares $10,000
PowerShares S&P 500 Downside Hedged Portfolio $9,000
ProShares UltraShort FTSE Europe $9,000
Guggenheim Canadian Energy Income ETF $8,000
ProShares UltraShort Basic Materials $7,000
United States 12 Month Natural Gas Fund, LP $5,000
Schwab Intermediate-Term US Treasury ETF $5,000
ProShares Short FTSE China 50 $4,000
ProShares UltraShort FTSE China 50 $4,000
UBS Exchange Traded Access Securities (E-TRACS) Long Platinum UBS Bloomberg CMCI Platinum Total Return $3,000
iShares MSCI Global Agriculture Producers ETF $3,000
Global X China Industrials ETF $1,000
ProShares Short Real Estate $1,000
ProShares UltraShort Oil & Gas $1,000



    Last updated on July 8, 2018
      • $598.5B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 2M
      • $371.7K
        Estimated Average Account Balance


    Firm Services

    There is no Services data available to display at this time.

    Firm Client types


    Current Advisors

    # of advisors


    name start date
    Nancy Carolyn Brown
    December 2017
    Philip Edgar Noble
    November 2011
    Christopher Vail Maxtone-Graham
    July 2014
    William Allen Creekbaum
    June 2009
    Linda Marie Ballance
    September 2011

      Affiliated Investment Advisors and Broker Dealers

      Name Type Total Assets
      Ceres Managed Futures LLC -- --
      Consulting Group Advisory Services LLC IAR $5,287,435,528
      Morgan Stanley & Co. Incorporated Dual Registrant $0
      Morgan Stanley Aip Gp Lp IAR $17,290,980,685
      Morgan Stanley Asset Management Private Limited -- --
      Morgan Stanley Bank, Na -- --
      Morgan Stanley Distribution, Inc. Broker-Dealer --
      Morgan Stanley Infrastructure Inc. IAR $5,433,526,116
      Morgan Stanley Investment Management (Japan) Co., Ltd. IAR $3,498,328,227
      Morgan Stanley Investment Management Company IAR $18,135,548,262
      Morgan Stanley Investment Management Inc. IAR $277,114,975,874
      Morgan Stanley Investment Management Limited IAR $55,585,736,723
      Morgan Stanley Private Bank, National Association -- --
      Morgan Stanley Private Equity Asia, Inc. IAR $800,171,837
      Morgan Stanley Real Estate Advisor, Inc. IAR --
      Morgan Stanley Smith Barney Private Management II LLC IAR $0
      Morgan Stanley Smith Barney Venture Services LLC IAR $182,000,000
      Ms Capital Partners Adviser Inc. IAR $4,237,128,227
      Msref Iii, Inc. IAR $11,097,452
      Msref Iv, LLC IAR $132,604,218
      Msref Real Estate Advisor, Inc. IAR $6,492,309,582
      Msref V, L.L.C. IAR $467,758,998
      Msress III Manager, L.L.C. IAR $2,061,713,109
      Peregrine Investments LLC -- --
      Prime Dealer Services Corp. Broker-Dealer --



        There is no ownership data available to display at this time.

        Executives and Control Persons

        Name Title Tenure Date % Ownership
        Norman Wilson Heusser Chief Financial Officer And Executive Director August, 2017 less than 5%
        Rose-Anne Nancy Richter Chief Compliance Officer June, 2016 less than 5%
        Andrew Michael Saperstein Director, Co-Chairman, Co-President And Co-Chief Executive Officer February, 2016 less than 5%
        Shelley Suzanne O'Connor Director, Co-Chairman, Co-President And Co-Chief Executive Officer August, 2014 less than 5%
        David Morano Chief Operations Officer February, 2016 less than 5%
        James Troy Janover Director February, 2016 less than 5%
        Benjamin Cordt Huneke Director February, 2016 less than 5%
        Jed Finn Director February, 2016 less than 5%
        Steven Manuel Santos Designated Principal - Texas June, 2011 less than 5%
        Timothy Gerard Hansen Chief Compliance Officer (Ia Only ) March, 2011 less than 5%
          Source: SEC


          Types of Compensation Arrangements

          • Percentage Of Assets
          • Fixed Fees
          • Commissions
          • Other