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 Smith Barney Venture Services LLC

Former SEC-registered adviserNew York, New YorkCRD 111386SEC 801-60172IAPD
Latest filing Mar 9, 2021
First filing on the tape Mar 30, 2012 · 43 filings
RAUM
$38.5M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$38.5M gross assets
History
43 filings and snapshots on the tape
RAUM$38.5M as of Mar 26, 2020
Mar 30, 2012$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 30, 20120 then
Employees (5.A)2 as of Mar 26, 2020
Apr 1, 20132 then
Private funds4 as of Mar 26, 2020
Mar 30, 20124 then
RAUM -58% over the last fiscal year-40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2021; 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
$38.5MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween 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-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$38.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Morgan Stanley Hedge Premier Composition SeriesHedge Fund$38.5M175Mar 30, 2012
      Citi Venture Opportunities Fund III L.P.Private Equity Fund$00Mar 30, 2012
      Citi Venture Opportunities Fund II L.P.Private Equity Fund$00Mar 30, 2012
      Citi Venture Opportunities Fund L.P.Private Equity Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Anthony Michael Annunziata · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      • Jeremy Beal · Director, Chief Executive Officer And Presidentcontrol
        since 12/2018 · owns less than 5%
      • Vincent James Bruno · Directorcontrol
        since 12/2011 · owns less than 5%
      • Michael Andrew Davies · Directorcontrol
        since 06/2013 · owns less than 5%
      • Frank Michael Esposito · Directorcontrol
        since 12/2018 · owns less than 5%
      • Carmen Lai · Directorcontrol
        since 12/2018 · owns less than 5%
      • Marianne Motley · Directorcontrol
        since 10/2017 · owns less than 5%
      • L Nicole Polski · Chief Financial Officercontrol
        since 06/2016 · owns less than 5%
      Entity owners
      • Morgan Stanley Domestic Holdings, Inc. · Member
        direct · owns 75% or more
      • Morgan Stanley · Shareholder
        indirect · owns 75% or more of Morgan Stanley Capital Management LLC · public reporting company
      • Morgan Stanley Capital Management LLC · Shareholder
        indirect · owns 75% or more of Morgan Stanley Domestic Holdings Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Morgan Stanley Smith Barney Venture Services LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $91.6M to $38.5M
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $91.6M to $38.5M
        Mar 29, 2019 to Mar 26, 2020
      • RAUM · $91.6M to $38.5M
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $140M to $91.6M
        Feb 15, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $140M to $91.6M
        Feb 15, 2019 to Mar 29, 2019
      • RAUM · $140M to $91.6M
        Feb 15, 2019 to Mar 29, 2019
      • Accounts · 5 to 1
        Aug 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $182M to $140M
        Aug 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 140448000.0
        Aug 30, 2017 to Mar 29, 2018
      • RAUM · $182M to $140M
        Aug 30, 2017 to Mar 29, 2018
      • Accounts · 4 to 5
        Jan 5, 2017 to Mar 31, 2017
      • Discretionary RAUM · $237M to $182M
        Jan 5, 2017 to Mar 31, 2017
      • RAUM · $237M to $182M
        Jan 5, 2017 to Mar 31, 2017
      • Discretionary RAUM · $237M to $237M
        Mar 27, 2015 to Mar 31, 2015
      • RAUM · $237M to $237M
        Mar 27, 2015 to Mar 31, 2015
      • Business name · MORGAN STANLEY SMITH BANREY VENTURE SERVICES LLC to MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC
        Mar 26, 2015 to Mar 27, 2015
      • Assets in custody · unset to 0.0
        Jul 14, 2014 to Sep 2, 2014
      • Custody of client assets · false to true
        Jul 14, 2014 to Sep 2, 2014
      • Discretionary RAUM · $228M to $237M
        Jan 23, 2014 to Mar 31, 2014
      • RAUM · $228M to $237M
        Jan 23, 2014 to Mar 31, 2014
      • Accounts · 3 to 4
        May 31, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        May 31, 2012 to Apr 1, 2013
      • BD registered reps · unset to 1.0
        May 31, 2012 to Apr 1, 2013
      • Business name · MORGAN STANLEY SMITH BARNEY to MORGAN STANLEY SMITH BANREY VENTURE SERVICES LLC
        May 31, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        May 31, 2012 to Apr 1, 2013
      • Discretionary RAUM · $166M to $228M
        May 31, 2012 to Apr 1, 2013
      • RAUM · $166M to $228M
        May 31, 2012 to Apr 1, 2013
      Signals
      4 dated events
      • Matthew Scott Steel (Director) no longer on Schedule A of Morgan Stanley Smith Barney Venture Services Llc (listed 2018-07-06, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      • Cordt Benjamin Huneke (Director, Chief Executive Officer And President) no longer on Schedule A of Morgan Stanley Smith Barney Venture Services Llc (listed 2018-07-06, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      • Frank Michael Esposito (Director) appeared on Schedule A of Morgan Stanley Smith Barney Venture Services Llc
        Feb 15, 2019 · Control person joined · fact
      • Carmen Lai (Director) appeared on Schedule A of Morgan Stanley Smith Barney Venture Services Llc
        Feb 15, 2019 · Control person joined · fact
      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