Morgan Stanley

CRD#149777
Investment Advisor and Brokerage Firm

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Learn more about Morgan Stanley

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Morgan Stanley is located at 2000 Westchester Avenue, Purchase, NY. The firm employs 13,000 financial advisors. Morgan Stanley is a registered broker-dealer.

    The firm manages $1.7 trillion in assets under management across 2,539,760 accounts, with 2,012,615 discretionary accounts and 527,145 non-discretionary accounts. Over the past year, 196,500 clients received financial planning services. The services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars, and other services. Morgan Stanley serves a range of investors, including retail investors, high net worth investors, banking institutions, investment companies, pension plans, charitable organizations, state or municipal government entities, insurance companies, corporations, and others. The largest client type by accounts is retail investors. The firm has 34,704 high net worth clients. The fee structure includes asset-based, fixed, commission-based, performance-based, and other fees. Financial industry affiliations include broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, and commodity pool advisor.

    Morgan Stanley is registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, West Virginia, Wisconsin, Wyoming, Missouri, Washington, Texas, and New Hampshire.

    Assets Under Management

    $1.7 trillion

    Number of Advisors

    13,000

    Disclosures

    No

    Office Location

    2000 Westchester Avenue
    Purchase, NY 10577-2530

    Morgan Stanley by the Numbers

    Total Assets Under Management

    $1.7 trillion

    National Average: $8.6 billion
    Total Number of Employees

    29,200

    National Average: 64
    Total Number of Accounts

    2,539,760

    National Average: 375,227
    Average Account Size

    $649.7 thousand

    National Average: $23.0 thousand
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    Products and Services

    Financial services that Morgan Stanley provides include financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars, and other services. In the prior financial year, Morgan Stanley provided 196500 of its clients with financial planning servcies. The firm is engaged in selling products or offering services different than investment advisory services to its customers. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, and commodity pool advisor.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advice usually vary depending on the type of services provided. However, fees billed by Morgan Stanley may include some combination of the following fee structures: asset-based, fixed, commission-based, performance-based, and other. The firm participates in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.It is able to withdraw the charges directly from client accounts.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 1% of firms

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    Morgan Stanley manages money for a broad range of clients. The firm works with retail investors, high net worth investors, banking institutions, investment companies, pension plans, charitable organizations, state or municipal government entities, insurance companies, corporations, and other. Out of its 2,539,760 clients, Morgan Stanley's biggest client type by number of accounts is retail investors, although it also serves 34,704 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 1.37%
    • Other Individuals - 96.42%
    • Corporations - 0.7%
    • Charitable Organizations - 1.52%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Morgan Stanley does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Morgan Stanley

    Ariana Bedolla Medina
    Laguna Niguel, CA
    Eric Chu
    Pasadena, CA
    Yiqun Li
    Pasadena, CA
    Haley Reiher
    Orland Park, IL
    Nicholas Primavera
    New York, NY
    Sophia Douglas
    Atlanta, GA
    Alexandra Pohutsky
    Boca Raton, FL
    Alexis Sullivan
    Atlanta, GA
    Chazius Stephens
    Sandy, UT

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