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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

EATON VANCE WATEROAK ADVISORS

CRD 132047

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:22645a00-e097-1b54-3034-8f9b4c5390d8

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 40
On other graphs: 0
Observed: Nov 30, 2011 to Mar 31, 2022
41 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $15BItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $14B
Private client RAUM: $13BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 67
Advisory employees: 27
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 5,607
Individual clients: 1,073
High net worth clients: 412
SEC number: 801-63334
CRD: 132047
Filings on the tape: 41
First filed: Nov 30, 2011
Latest filed: Mar 31, 2022
Organised: Other (specify), Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FAUST, THOMAS, E.	EXECUTIVE VICE PRESIDENT	Na	yes	11/2007	Nov 30, 2011	Mar 31, 2022
KUDLACIK, SCOTT, RYAN	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	Na	yes	04/2020	Apr 24, 2020	Mar 31, 2022
MCCABE, DAVID, CONNOR	President	Na	yes	11/2011	Nov 30, 2011	Mar 31, 2022
MORGAN STANLEY	HOLDS 100% OF MORGAN STANLEY CAPITAL MANAGEMENT, LLC	E	yes	07/2021	Mar 31, 2022	Mar 31, 2022
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	HOLDS 100% OF MORGAN STANLEY DOMESTIC HOLDINGS, INC.	E	yes	07/2021	Jul 30, 2021	Mar 31, 2022
MORGAN STANLEY DOMESTIC HOLDINGS, INC.	BENEFICIAL OWNER	E	yes	07/2021	Jul 30, 2021	Mar 31, 2022
PUOPOLO, DANIEL, MICHAEL	CHIEF ADMINISTRATIVE OFFICER	Na	yes	11/2019	Nov 2, 2020	Mar 31, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MORGAN STANLEY SMITH BARNEY LLC	n/a	Wirehouse	$1962B	N	yes	NY
MORGAN STANLEY INVESTMENT MANAGEMENT INC.	n/a	Asset manager	$702B	N	yes	n/a
PARAMETRIC PORTFOLIO ASSOCIATES LLC	n/a	Bd affiliated wealth	$685B	N	yes	n/a
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED	n/a	Asset manager	$175B	N	yes	n/a
BOSTON MANAGEMENT AND RESEARCH	n/a	Asset manager	$155B	N	yes	n/a
EATON VANCE MANAGEMENT	n/a	Asset manager	$97B	N	yes	n/a
CALVERT RESEARCH AND MANAGEMENT	n/a	Asset manager	$40B	N	yes	n/a
EATON VANCE ADVISERS INTERNATIONAL LTD.	n/a	Asset manager	$36B	N	yes	n/a
ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C.	n/a	Asset manager	$29B	N	yes	n/a
MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY	n/a	Other adviser	$11B	N	yes	n/a
MORGAN STANLEY EATON VANCE CLO MANAGER LLC	n/a	Asset manager	$4.3B	N	yes	n/a
MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.	n/a	Former SEC adviser	$3.5B	N	yes	n/a
EATON VANCE MANAGEMENT (INTERNATIONAL) LIMITED	n/a	Former SEC adviser	$1.5B	N	yes	n/a
EATON VANCE DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a
EATON VANCE MANAGEMENT INTERNATIONAL (ASIA) PTE. LTD.	n/a	n/a	n/a	N	yes	n/a
EATON VANCE TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
MORGAN STANLEY & CO. LLC	n/a	n/a	n/a	N	yes	n/a
MORGAN STANLEY DISTRIBUTION, INC.	n/a	n/a	n/a	N	yes	n/a
MSIM FUND MANAGEMENT (IRELAND) LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WINTER PARK	FL	United States	8	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$15B	$14B	67	27	2	n/a	n/a
2020	Jan 29, 2021	$10B	$9.5B	58	33	3	n/a	n/a
2019	Jan 29, 2020	$7.7B	$7.0B	58	25	2	n/a	n/a
2018	Jan 29, 2019	$6.0B	$5.1B	53	23	2	n/a	n/a
2017	Jan 31, 2018	$6.1B	$4.9B	43	22	2	n/a	n/a
2016	Jan 31, 2017	$5.2B	$4.0B	43	22	n/a	n/a	n/a
2015	Jan 29, 2016	$6.3B	$4.7B	46	23	n/a	n/a	n/a
2014	Jan 29, 2015	$4.9B	$4.7B	45	27	n/a	n/a	n/a
2013	Jan 29, 2014	$5.5B	$4.5B	44	27	n/a	n/a	n/a
2012	Jan 29, 2013	$4.9B	$3.9B	44	27	n/a	n/a	n/a
2011	Jan 30, 2012	$4.6B	$4.0B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$15B	$10B	40.8%	$6.0B	34.8%	67	58	2	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	5	Oct 5, 2022	Dec 14, 2023	BOSTON, MA	Firm absorbed	RIA to RIA	100.0%
Pathstone	2	May 24, 2022	Jun 15, 2022	BOSTON, MA	Team lift out	RIA to RIA	18.2%
Pathstone	5	May 17, 2022	Jul 19, 2022	WINTER PARK, FL	Team lift out	RIA to RIA	41.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WATER OAK ADVISORS, LLC	8	Dec 11, 2020	Jan 28, 2021	WINTER PARK, FL	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (17)

→ BOSTON MANAGEMENT AND RESEARCHRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ EATON VANCE MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MORGAN STANLEY INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ MORGAN STANLEY INVESTMENT MANAGEMENT INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PARAMETRIC PORTFOLIO ASSOCIATESRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ ATLANTA CAPITALRegistered adviserother investment adviser, common control
factForm ADV
→ MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.Registered adviserother investment adviser, common control
factForm ADV
→ MORGAN STANLEY INVESTMENT MANAGEMENT COMPANYRegistered adviserother investment adviser, common control
factForm ADV
→ MORGAN STANLEYRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, custodian, common control
factForm ADV
→ EATON VANCE MANAGEMENT (INTERNATIONAL) LIMITEDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ EATON VANCE ADVISERS INTERNATIONAL LTD.Registered adviserother investment adviser, bank, common control
factForm ADV
→ CALVERT RESEARCH AND MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MORGAN STANLEY | EATON VANCE CLO MANAGER LLCRegistered adviserother investment adviser, common control
factForm ADV
← EATON VANCE GLOBAL ADVISORS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← EATON VANCE MANAGEMENT (INTERNATIONAL) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← PARAMETRIC RISK ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← FOX ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← MCCABE, DAVID, CONNOROwnerPRESIDENT, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← FAUST, THOMAS, E.OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← PUOPOLO, DANIEL, MICHAELOwnerCHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Nov 2, 2020 to presentfactForm ADV
← KUDLACIK, SCOTT, RYANOwnerCHIEF COMPLIANCE OFFICER, VICE PRESIDENT, ownership code NA, individual
Apr 24, 2020 to presentfactForm ADV
← MORGAN STANLEYOwnerHOLDS 100% OF MORGAN STANLEY CAPITAL MANAGEMENT, LLC, ownership code E, domestic entity
Mar 31, 2022 to presentfactForm ADV
← MORGAN STANLEY CAPITAL MANAGEMENT, LLCOwnerHOLDS 100% OF MORGAN STANLEY DOMESTIC HOLDINGS, INC., ownership code E, domestic entity
Jul 30, 2021 to presentfactForm ADV
← MORGAN STANLEY DOMESTIC HOLDINGS, INC.OwnerBENEFICIAL OWNER, ownership code E, domestic entity
Jul 30, 2021 to presentfactForm ADV

Moved with (3)

→ CORIENTRegistered adviser5 advisors, firm absorbed
Oct 5, 2022 to Dec 14, 2023factForm ADV
→ PATHSTONERegistered adviser4 advisors, team lift out, same day
May 24, 2022 to Jul 19, 2022factForm ADV
← WATER OAK ADVISORS, LLCRegistered adviser8 advisors, firm absorbed, same day
Dec 11, 2020 to Jan 28, 2021factForm ADV

Registered with (16)

← George W SaltonstallAdvisorregistration: previous registration
Aug 19, 2004 to Oct 11, 2022factForm ADV
← David C. McCabeAdvisorregistration: previous registration
Mar 8, 2012 to Oct 11, 2022factForm ADV
← Jennifer A EustanceAdvisorregistration: previous registration
Jul 30, 2018 to Oct 11, 2022factForm ADV
← James A GilloranAdvisorregistration: previous registration
Mar 26, 2019 to Oct 11, 2022factForm ADV
← Robert H. BortnickAdvisorregistration: previous registration
Sep 26, 2005 to Oct 5, 2022factForm ADV
← Robert E OverallAdvisorregistration: previous registration
Dec 14, 2020 to May 24, 2022factForm ADV
← Scott J MacaioneAdvisorregistration: previous registration
Dec 17, 2020 to May 24, 2022factForm ADV
← Gregory J MendozaAdvisorregistration: previous registration
Jan 28, 2021 to May 24, 2022factForm ADV
← Vivien JohnsonAdvisorregistration: previous registration
Dec 8, 2020 to May 24, 2022factForm ADV
← Jeffrey L ScangaAdvisorregistration: previous registration
Dec 10, 2020 to May 24, 2022factForm ADV
← Bradley R LacoreAdvisorregistration: previous registration
Dec 11, 2020 to May 24, 2022factForm ADV
← Ron W HensonAdvisorregistration: previous registration
Dec 11, 2020 to May 17, 2022factForm ADV
← BRANDON JOSEPH SCHWABAdvisorregistration: previous registration
Jan 29, 2019 to Sep 8, 2021factForm ADV
← STEPHEN ARMFIELD CURLEYAdvisorregistration: previous registration
Dec 14, 2020 to Jul 20, 2021factForm ADV
← WILLIAM CALVIN BEATTIEAdvisorregistration: previous registration
Jul 9, 2018 to Jul 1, 2021factForm ADV
← DEBORAH WATSON MOSESAdvisorregistration: previous registration
Aug 19, 2004 to Feb 17, 2016factForm ADV

Dated events

Occurred
Oct 11, 2022
Advisor changed firm
Jennifer A Eustance left Eaton Vance Wateroak Advisors for Corient (registered 2022-10-12)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2022
Advisor changed firm
David C. Mccabe left Eaton Vance Wateroak Advisors for Corient (registered 2023-12-14)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2022
Advisor changed firm
James A Gilloran left Eaton Vance Wateroak Advisors for Corient (registered 2022-10-12)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2022
Advisor changed firm
George W Saltonstall left Eaton Vance Wateroak Advisors for Corient (registered 2022-12-13)
Form ADVobserved 6 days ago
Occurred
Oct 5, 2022
Firm absorbed
Eaton Vance Wateroak Advisors's advisors moved to Corient (Boston, MA): 5 of 5 registered, within 6 days
Form ADVobserved 6 days ago
5 advisors
Occurred
Oct 5, 2022
Advisor changed firm
Robert H. Bortnick left Eaton Vance Wateroak Advisors for Corient (registered 2022-10-04)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Team lift-out
4 advisors left Eaton Vance Wateroak Advisors (Boston, MA) for Pathstone on the same day
Form ADVobserved 6 days ago
4 advisors
Occurred
May 24, 2022
Advisor changed firm
Gregory J Mendoza left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-07-01)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Jeffrey L Scanga left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-06-14)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Vivien Johnson left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-06-15)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Robert E Overall left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-07-19)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Bradley R Lacore left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-06-20)
Form ADVobserved 6 days ago
Occurred
May 24, 2022
Advisor changed firm
Scott J Macaione left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-06-15)
Form ADVobserved 6 days ago
Occurred
May 17, 2022
Team lift-out
3 advisors left Eaton Vance Wateroak Advisors (Winter Park, FL) for Pathstone within 7 days
Form ADVobserved 6 days ago
3 advisors
Occurred
May 17, 2022
Advisor changed firm
Ron W Henson left Eaton Vance Wateroak Advisors for Pathstone (registered 2022-06-20)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Eaton Vance Wateroak Advisors reported RAUM $14.6B, up 41% from $10.4B (2021-07-30 to 2022-03-31)
Form ADVobserved 6 days ago
$4.2B
Occurred
Mar 31, 2022
Control person left
E Deidre Walsh (Head Of Eaton Vance Legal) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-07-30, absent 2022-03-31)
Form ADVobserved 6 days ago
Occurred
Jul 30, 2021
Control person left
Ann Maureen Gemma (Head Of Eaton Vance Legal) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-05-17, absent 2021-07-30)
Form ADVobserved 6 days ago
Occurred
Jul 30, 2021
Control person joined
E Deidre Walsh (Head Of Eaton Vance Legal) appeared on Schedule A of Eaton Vance Wateroak Advisors
Form ADVobserved 6 days ago
Occurred
May 17, 2021
Control person joined
Ann Maureen Gemma (Head Of Eaton Vance Legal) appeared on Schedule A of Eaton Vance Wateroak Advisors
Form ADVobserved 6 days ago
Occurred
May 17, 2021
Control person left
Stewart Frederick Marius (Head Of Eaton Vance Legal) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-03-30, absent 2021-05-17)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Lawrence John Shea (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Greenwald Laurie Hylton (Cfo, Vice President) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
J. Cynthia Clemson (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Joseph Matthew Witkos (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Dean Brian Langstraat (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Carl Daniel Cataldo (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Hamilton James Evans (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Bass Charles Reed (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Kelly Ray Williams (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Craig Russ (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
James Edward Perkin (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Richard Lewis Piantedosi (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Andrew Michael Cirami (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Robert Craig Brandon (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
A Eric Stein (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Thomas Lee (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Chan Lin Thomas Seto (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Wold Paul Bouchey (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person left
Henry John Streur (Trustee) no longer on Schedule A of Eaton Vance Wateroak Advisors (listed 2021-01-29, absent 2021-03-30)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22645a00-e097-1b54-3034-8f9b4c5390d8
First observed: Nov 30, 2011
Last observed: Mar 31, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

EATON VANCE WATEROAK ADVISORS

CRD 132047

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:22645a00-e097-1b54-3034-8f9b4c5390d8

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAUST, THOMAS, E.

EXECUTIVE VICE PRESIDENT

yes

11/2007

Nov 30, 2011

Mar 31, 2022

KUDLACIK, SCOTT, RYAN

CHIEF COMPLIANCE OFFICER, VICE PRESIDENT

yes

04/2020

Apr 24, 2020

Mar 31, 2022

MCCABE, DAVID, CONNOR

President

yes

11/2011

Nov 30, 2011

Mar 31, 2022

MORGAN STANLEY

HOLDS 100% OF MORGAN STANLEY CAPITAL MANAGEMENT, LLC

yes

07/2021

Mar 31, 2022

MORGAN STANLEY CAPITAL MANAGEMENT, LLC

HOLDS 100% OF MORGAN STANLEY DOMESTIC HOLDINGS, INC.

yes

07/2021

Jul 30, 2021

Mar 31, 2022

MORGAN STANLEY DOMESTIC HOLDINGS, INC.

BENEFICIAL OWNER

yes

07/2021

Jul 30, 2021

Mar 31, 2022

PUOPOLO, DANIEL, MICHAEL

CHIEF ADMINISTRATIVE OFFICER

yes

11/2019

Nov 2, 2020

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MORGAN STANLEY SMITH BARNEY LLC

n/a

Wirehouse

$1962B

yes

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

n/a

Asset manager

$702B

yes

n/a

PARAMETRIC PORTFOLIO ASSOCIATES LLC

n/a

Bd affiliated wealth

$685B

yes

n/a

MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED

n/a

Asset manager

$175B

yes

n/a

BOSTON MANAGEMENT AND RESEARCH

n/a

Asset manager

$155B

yes

n/a

EATON VANCE MANAGEMENT

n/a

Asset manager

$97B

yes

n/a

CALVERT RESEARCH AND MANAGEMENT

n/a

Asset manager

$40B

yes

n/a

EATON VANCE ADVISERS INTERNATIONAL LTD.

n/a

Asset manager

$36B

yes

n/a

ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C.

n/a

Asset manager

$29B

yes

n/a

MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY

n/a

Other adviser

$11B

yes

n/a

MORGAN STANLEY EATON VANCE CLO MANAGER LLC

n/a

Asset manager

$4.3B

yes

n/a

MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.

n/a

Former SEC adviser

$3.5B

yes

n/a

EATON VANCE MANAGEMENT (INTERNATIONAL) LIMITED

n/a

Former SEC adviser

$1.5B

yes

n/a

EATON VANCE DISTRIBUTORS, INC.

n/a

yes

n/a

EATON VANCE MANAGEMENT INTERNATIONAL (ASIA) PTE. LTD.

n/a

yes

n/a

EATON VANCE TRUST COMPANY

n/a

yes

n/a

MORGAN STANLEY & CO. LLC

n/a

yes

n/a

MORGAN STANLEY DISTRIBUTION, INC.

n/a

yes

n/a

MSIM FUND MANAGEMENT (IRELAND) LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WINTER PARK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$15B

$14B

n/a

2020

Jan 29, 2021

$10B

$9.5B

n/a

2019

Jan 29, 2020

$7.7B

$7.0B

n/a

2018

Jan 29, 2019

$6.0B

$5.1B

n/a

2017

Jan 31, 2018

$6.1B

$4.9B

n/a

2016

Jan 31, 2017

$5.2B

$4.0B

n/a

2015

Jan 29, 2016

$6.3B

$4.7B

n/a

2014

Jan 29, 2015

$4.9B

$4.7B

n/a

2013

Jan 29, 2014

$5.5B

$4.5B

n/a

2012

Jan 29, 2013

$4.9B

$3.9B

n/a

2011

Jan 30, 2012

$4.6B

$4.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$15B

$10B

40.8%

$6.0B

34.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Oct 5, 2022

Dec 14, 2023

BOSTON, MA

Firm absorbed

RIA to RIA

100.0%

Pathstone

May 24, 2022

Jun 15, 2022

BOSTON, MA

Team lift out

RIA to RIA

18.2%

Pathstone

May 17, 2022

Jul 19, 2022

WINTER PARK, FL

Team lift out

RIA to RIA

41.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WATER OAK ADVISORS, LLC

Dec 11, 2020

Jan 28, 2021

WINTER PARK, FL

Firm absorbed

RIA to RIA

100.0%