DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Morgan Stanley Venture Capital III Inc

Former SEC-registered adviserNew York, New YorkCRD 108708SEC 801-52909IAPD
Latest filing Jul 12, 2012
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$44.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$41.2M gross assets
History
2 filings and snapshots on the tape
RAUM$44.9M as of Jul 12, 2012
Mar 30, 2012$44.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 12, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds2 as of Jul 12, 2012
Mar 30, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 12, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$15.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J Gregory Fleming · President Of Morgan Stanley Investment Management And Morgan Stanley Smith Barneycontrol
        since 07/2010 · owns less than 5%
      • Michael Henry · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • Kent Alan Jones · Head Of Private Equity, President And Directorcontrol
        since 10/2007 · owns less than 5%
      • N Edmond Moriarty · Coo Of Morgan Stanley Investment Management And Head Of Merchant Banking And Real Estate Investingcontrol
        since 02/2010 · owns less than 5%
      • Debra Abramovitz · Chief Financial Officer And Director
        since 02/2005 · owns less than 5%
      • David Peter Chung · Director
        since 04/2008 · owns less than 5%
      • Marie Melissa Daniels · Director
        since 04/2008 · owns less than 5%
      • Seth Jason Koenig · Chief Legal Officer
        since 03/2011 · owns less than 5%
      Entity owners
      • Morgan Stanley · Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Morgan Stanley Venture Capital III Inc as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026