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Morgan Stanley Smith Barney LLC




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ETF Holdings

Name Assets
First Trust Senior Loan Fund $166,654,000
First Trust Low Duration Opportunities ETF $139,329,000
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund $66,152,000
Vanguard Russell 1000 Value Index Fund $50,791,000
UBS Exchange Traded Access Securities (E-TRACS) Dow Jones-UBS Commodity Index Total Return $43,047,000
WisdomTree SmallCap Earnings Fund $41,847,000
ProShares Short QQQ $40,994,000
iShares Core 1-5 Year USD Bond ETF $39,355,000
PowerShares DWA SmallCap Momentum Portfolio $32,139,000
Vanguard Intermediate-Term Government Bond Index Fund $30,296,000
iShares Morningstar Mid-Cap ETF $28,986,000
iShares Morningstar Small-Cap Value ETF $27,914,000
BLDRS Developed Markets 100 ADR Index Fund $26,457,000
SPDR SSgA Multi-Asset Real Return ETF $26,287,000
Guggenheim BulletShares 2022 Corporate Bond ETF $25,358,000
WisdomTree Earnings 500 Fund $22,590,000
Vanguard S&P Small-Cap 600 Index Fund $21,494,000
First Trust Japan AlphaDEX Fund $20,262,000
First Trust Chindia ETF $19,883,000
PowerShares KBW High Dividend Yield Financial Portfolio $18,869,000
First Trust Germany AlphaDEX Fund $17,212,000
iShares Edge MSCI USA Value Factor ETF $16,891,000
Schwab Short-Term US Treasury ETF $15,648,000
PowerShares KBW Premium Yield Equity REIT Portfolio $15,071,000
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund $14,559,000
iShares Morningstar Mid-Cap Value ETF $14,080,000
First Trust Switzerland AlphaDEX Fund $13,660,000
IQ Merger Arbitrage ETF $13,644,000
WisdomTree Total Dividend Fund $13,042,000
SPDR S&P 500 Value ETF $12,806,000
PowerShares DWA Healthcare Momentum Portfolio $11,864,000
AdvisorShares Dorsey Wright ADR ETF $11,840,000
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $11,715,000
iShares Morningstar Large-Cap Value ETF $10,252,000
iShares Global High Yield Corporate Bond ETF $9,775,000
Alps Equal Sector Weight ETF $9,744,000
Guggenheim S&P 500 Equal Weight Financials ETF $9,325,000
PowerShares Golden Dragon China Portfolio $8,979,000
SPDR S&P 600 Small Cap ETF $8,800,000
SPDR S&P Global Dividend ETF $8,112,000
iShares MSCI Global Metals & Mining Producers ETF $7,504,000
Guggenheim S&P 500 Equal Weight Industrials ETF $7,412,000
PowerShares DWA Technology Momentum Portfolio $7,227,000
SPDR SSGA US Large Cap Low Volatility Index ETF $6,853,000
iShares MSCI Denmark Capped ETF $6,811,000
ProShares Short MSCI Emerging Markets $6,361,000
IQ Global Resources ETF $6,088,000
iShares International High Yield Bond ETF $5,897,000
SPDR S&P 400 Mid Cap Growth ETF $5,731,000
iShares MSCI Finland Capped ETF $5,664,000
Direxion NASDAQ-100 Equal Weighted Index Shares $5,487,000
SPDR S&P World ex-US ETF $5,296,000
PowerShares Dividend Achievers Portfolio $5,162,000
Fidelity NASDAQ Composite Index Tracking Stock $5,130,000
iShares Morningstar Mid-Cap Growth ETF $5,050,000
WisdomTree Emerging Markets Quality Dividend Growth Fund $4,870,000
PowerShares Russell Midcap Pure Growth Portfolio $4,024,000
iShares MSCI Kokusai ETF $3,901,000
Global X MSCI Argentina ETF $3,785,000
VanEck Vectors India Small-Cap Index ETF $3,766,000
PowerShares FTSE RAFI Developed Markets ex-US Small-Mid Portfolio $3,656,000
SPDR S&P 1500 Momentum TILT ETF $3,626,000
PowerShares DWA Financial Momentum Portfolio $3,557,000
PowerShares DWA Energy Momentum Portfolio $3,365,000
iShares MSCI Europe Small-Cap ETF $3,298,000
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund $3,242,000
ProShares UltraPro S&P500 $3,104,000
Global X China Consumer ETF $3,058,000
PowerShares DWA Consumer Staples Momentum Portfolio $3,037,000
SPDR S&P 400 Mid Cap Value ETF $3,004,000
SPDR SSGA US Small Cap Low Volatility Index ETF $2,927,000
SPDR Bloomberg Barclays Long Term Corporate Bond ETF $2,883,000
UBS Exchange Traded Access Securities (E-TRACS) Alerian Natural Gas MLP Index $2,859,000
PowerShares DB Opt Yld Dvsd Comdty Strategy $2,785,000
SPDR STOXX Europe 50 ETF $2,758,000
PowerShares Russell Midcap Pure Value Portfolio $2,680,000
iShares Core 10+ Year USD Bond ETF $2,388,000
iShares 1-3 Year International Treasury Bond ETF $2,253,000
SPDR Bloomberg Barclays Mortgage Backed Bond ETF $2,232,000
First Trust NASDAQ Clean Edge Green Energy Index Fund $2,204,000
Direxion Daily Emerging Markets Bear 3X Shares $2,126,000
SPDR BofA Merrill Lynch Crossover Corporate Bond ETF $2,059,000
WisdomTree Global ex-US Quality Dividend Growth Fund $2,044,000
PowerShares Cleantech Portfolio $2,007,000
PowerShares Global Short Term High Yield Bond Portfolio $1,937,000
iShares Asia/Pacific Dividend ETF $1,929,000
iShares MSCI Emerging Markets Small-Cap ETF $1,767,000
First Trust Value Line 100 Exchange-Traded Fund $1,678,000
First Trust Latin America AlphaDEX Fund $1,597,000
First Trust Indxx Global Agriculture ETF $1,581,000
PIMCO 1-3 Year US Treasury Index Exchange Traded Fund $1,547,000
PowerShares Russell 2000 Pure Growth Portfolio $1,524,000
iShares Russell Top 200 ETF $1,476,000
SPDR Bloomberg Barclays Short Term International Treasury Bond ETF $1,458,000
WisdomTree Global High Dividend Fund $1,435,000
SPDR Bloomberg Barclays Long Term Treasury ETF $1,324,000
PowerShares DWA Basic Materials Momentum Portfolio $1,217,000
PowerShares Russell 2000 Pure Value Portfolio $1,188,000
PowerShares FTSE RAFI Asia Pacific ex-Japan Portfolio $1,172,000
PowerShares DWA Consumer Cyclicals Momentum Portfolio $1,069,000
ProShares Short Financials $974,000
iShares Global Clean Energy ETF $969,000
WisdomTree Total Earnings Fund $936,000
SPDR Russell 1000 ETF $843,000
iShares Government/Credit Bond ETF $825,000
WisdomTree Emerging Currency Strategy Fund $797,000
United States Brent Oil Fund, LP $797,000
ETFS Physical Silver Shares $785,000
PIMCO 15+ Year US TIPS Index Exchange-Traded Fund $772,000
WisdomTree Asia Pacific ex-Japan Fund $737,000
ProShares UltraShort Bloomberg Crude Oil $720,000
Direxion Daily Semiconductor Bull 3X Shares $688,000
PowerShares DWA NASDAQ Momentum Portfolio $648,000
Guggenheim Investments CurrencyShares British Pound Sterling Trust $632,000
Cohen & Steers Global Realty Majors ETF $604,000
iShares Emerging Markets Infrastructure ETF $595,000
Direxion Daily Energy Bear 3X Shares $577,000
iShares GNMA Bond ETF $541,000
VanEck Vectors Indonesia Index ETF $524,000
First Trust Global Engineering and Construction ETF $456,000
PowerShares Dynamic Networking Portfolio $438,000
ProShares UltraPro Dow30 $436,000
First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund $422,000
First Trust United Kingdom AlphaDEX Fund $418,000
Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF $389,000
VanEck Vectors Africa Index ETF $374,000
PowerShares Global Agriculture Portfolio $361,000
Guggenheim MSCI Emerging Markets Equal Country Weight ETF $360,000
WisdomTree Emerging Markets Corporate Bond Fund $360,000
VanEck Vectors Solar Energy ETF $347,000
Direxion Daily S&P 500 Bull 3X Shares $333,000
PowerShares Zacks Micro Cap Portfolio $333,000
ProShares Ultra Oil & Gas $333,000
PIMCO Broad US TIPS Index Exchange-Traded Fund $322,000
PowerShares DB Gold Fund $319,000
First Trust Brazil AlphaDEX Fund $309,000
Guggenheim China All-Cap ETF $280,000
ProShares UltraShort Russell2000 $280,000
iShares MSCI Global Silver Miners ETF $274,000
First Trust Developed Markets ex-US Small Cap AlphaDEX Fund $272,000
Direxion Daily FTSE China Bull 3X Shares $272,000
ProShares Short High Yield $267,000
ProShares UltraShort MSCI Brazil Capped $242,000
Guggenheim Investments CurrencyShares Swedish Krona Trust $241,000
PowerShares WilderHill Progressive Energy Portfolio $239,000
First Trust China AlphaDEX Fund $231,000
IQ Hedge Market Neutral Tracker ETF $213,000
Guggenheim International Multi-Asset Income ETF $208,000
AdvisorShares Newfleet Multi-Sector Income ETF $204,000
ProShares Ultra Real Estate $199,000
iShares MSCI Brazil Small-Cap ETF $197,000
PowerShares DB Silver Fund $169,000
First Trust High Income ETF $162,000
iShares MSCI Norway Capped ETF $157,000
PowerShares DB US Dollar Index Bearish Fund $156,000
ProShares RAFI Long/Short $154,000
iShares MSCI China Small-Cap ETF $145,000
SPDR Bloomberg Barclays 1-10 Year TIPS ETF $140,000
SPDR S&P 1500 Value TILT ETF $135,000
PowerShares Dynamic Retail Portfolio $133,000
IQ Global Agribusiness Small Cap ETF $124,000
VanEck Vectors Brazil Small-Cap ETF $123,000
BLDRS Asia 50 ADR Index Fund $118,000
First Trust Australia AlphaDEX Fund $116,000
Direxion Daily Technology Bull 3X Shares $94,000
First Trust International IPO ETF $93,000
ProShares Ultra Gold $93,000
ProShares Ultra Dow30 $91,000
First Trust Total US Market AlphaDEX ETF $89,000
Wilshire US REIT ETF $87,000
United States Diesel-Heating Oil Fund, LP $85,000
ProShares Ultra MSCI EAFE $76,000
iShares MSCI Colombia Capped ETF $71,000
Cambria Shareholder Yield ETF $69,000
BLDRS Europe Select ADR Index Fund $67,000
ProShares Ultra Health Care $66,000
Global X China Financials ETF $64,000
First Trust Canada AlphaDEX Fund $62,000
Wilshire Micro-Cap ETF $61,000
ProShares Ultra Technology $61,000
First Trust Taiwan AlphaDEX Fund $60,000
IQ Real Return ETF $53,000
iShares iBonds Mar 2023 Term Corporate ex-Financials ETF $49,000
ProShares UltraShort Oil & Gas $48,000
iShares MSCI Global Energy Producers ETF $47,000
Schwab Intermediate-Term US Treasury ETF $47,000
ProShares UltraShort 7-10 Year Treasury $47,000
ProShares UltraShort Silver $45,000
PowerShares Emerging Markets Infrastructure Portfolio $44,000
IQ Canada Small Cap ETF $42,000
ProShares UltraShort Nasdaq Biotechnology $42,000
IQ Hedge Macro Tracker ETF $42,000
IQ Australia Small Cap ETF $40,000
ProShares UltraShort Financials $38,000
ProShares UltraShort MSCI Emerging Markets $27,000
Global X MSCI Colombia ETF $26,000
Reality Shares DIVCON Leaders Dividend ETF $23,000
First Trust Hong Kong AlphaDEX Fund $23,000
Guggenheim Canadian Energy Income ETF $23,000
Global X Permanent ETF $22,000
ProShares UltraPro Short 20+ Year Treasury $21,000
FlexShares International Quality Dividend Defensive Index Fund $21,000
UBS Exchange Traded Access Securities (E-TRACS) 2x Leveraged Long Wells Fargo BDC Index $20,000
ProShares UltraShort FTSE China 50 $19,000
ProShares UltraShort Gold $16,000
Direxion Daily Real Estate Bear 3X Shares $16,000
UBS Exchange Traded Access Securities (E-TRACS) UBS Bloomberg Constant Maturity Commodity Index (CMCI) Tot Rtn $14,000
First Trust South Korea AlphaDEX Fund $13,000
ProShares UltraShort FTSE Europe $10,000
Direxion Daily Real Estate Bull 3X Shares $9,000
PowerShares S&P 500 Downside Hedged Portfolio $8,000
United States 12 Month Natural Gas Fund, LP $7,000
Global X Junior MLP ETF $6,000
ProShares Short FTSE China 50 $4,000
UBS Exchange Traded Access Securities (E-TRACS) Long Platinum UBS Bloomberg CMCI Platinum Total Return $4,000
iShares MSCI Global Agriculture Producers ETF $4,000
First Trust Emerging Markets Local Currency Bond ETF $4,000
Global X China Industrials ETF $3,000
ProShares Short Real Estate $3,000
iPath Exchange-Traded Notes iPath Asian and Gulf Currency Revaluation Notes Series A $1,000



    Last updated on Nov. 5, 2017
      • $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
    Philip Edgar Noble
    November 2011
    Christopher Vail Maxtone-Graham
    July 2014
    John William Picone
    June 2009
    Daniel E Sheldon
    November 2015
    John Hampton Hagy
    October 2017

      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