MORGAN STANLEY SMITH BARNEY LLC

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UUID0985db3d-285f-5ea2-abf5-486e8a631951

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:51

Updated2025-10-23 02:24:35

Available Loaders

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

Open
SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

Open

Identifiers

Authority	Identifier	Display	As Of	Confidence
adv_crd	149777	149777	—	1.0
lei	7PDDXEMZ0ZV0CEDU4D16	7PDDXEMZ0ZV0CEDU4D16	—	—
sec_file_number	801-70103	801-70103	—	—

Profile

WebsiteHTTP://WWW.MORGANSTANLEYCLIENTSERV.COM

HQ CityPURCHASE

HQ StateNY

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

Aliases:

MORGAN STANLEY adv_part1

ADV Metrics

Assets & Accounts

RAUM (total)1,650,015,946,338.0
RAUM (discretionary)1,196,390,672,410.0
Actionable assets569,106,899,121.0
Accounts2,539,760.0

Institutional Clients

Government AUM6,128,704,273.0
Pension AUM56,193,629,883.0
Charitable AUM74,184,246,658.0
HNW AUM418,608,538,568.0

As of 2025-07-21 00:00:00 • Source ia09022025.xlsx

People

Name	Title	Role	Email	Evidence
CROWE, JOHN WILLIAM	CHIEF FINANCIAL OFFICER	OFFICER	—	{"filing_id": "2018313", "owner_id": "5475007", "source": "adv_part1", "table": "Schedule_A_B"}
FINN, JED	DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER	OFFICER	—	{"filing_id": "2018313", "owner_id": "5658048", "source": "adv_part1", "table": "Schedule_A_B"}
GALASSO, DAVID ANTHONY	PRINCIPAL OPERATIONS OFFICER	OFFICER	—	{"filing_id": "2018313", "owner_id": "1926502", "source": "adv_part1", "table": "Schedule_A_B"}
GIVENS, WILLIAM BENJAMIN	CHIEF COMPLIANCE OFFICER (BD ONLY)	OFFICER	—	{"filing_id": "2018313", "owner_id": "2790454", "source": "adv_part1", "table": "Schedule_A_B"}
HANSEN, TIMOTHY GERARD	CHIEF COMPLIANCE OFFICER (IA ONLY )	OFFICER	—	{"filing_id": "2018313", "owner_id": "4956475", "source": "adv_part1", "table": "Schedule_A_B"}
HENNESSY, MICHAEL S	DIRECTOR	OFFICER	—	{"filing_id": "2018313", "owner_id": "1988660", "source": "adv_part1", "table": "Schedule_A_B"}
JANOVER, JAMES TROY	DIRECTOR	OFFICER	—	{"filing_id": "2018313", "owner_id": "2818307", "source": "adv_part1", "table": "Schedule_A_B"}
MORGAN STANLEY	MEMBER	OFFICER	—	{"filing_id": "2018313", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER	OFFICER	—	{"filing_id": "2018313", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
TURNER, CHAD EDWARD	DIRECTOR	OFFICER	—	{"filing_id": "2018313", "owner_id": "6009808", "source": "adv_part1", "table": "Schedule_A_B"}
FLETCHER, PATRICIA KAY	TEXAS DESIGNATED PRINCIPAL	EMPLOYEE	—	{"filing_id": "2018313", "owner_id": "1202060", "source": "adv_part1", "table": "Schedule_A_B"}

Outbound Affiliations

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Inbound Affiliations

Relation	Organization	Last Updated	Evidence
No inbound affiliations.

Evidence

adv_part1

data/raw/sec_adv/raw_adv/ADV_Filing_Data_20250901_20250930/IA_ADV_Base_A_20250901_20250930.csv 2025-10-23 02:24:35 • csv
```
{
  "date_submitted": "09/25/2025 04:51:39 PM",
  "filing_id": "2018313",
  "reg_type": "IA"
}
```