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 Private Management LLC

Former SEC-registered adviserNew York, New YorkCRD 111397SEC 801-60174IAPD
Latest filing Jun 29, 2017
First filing on the tape Mar 30, 2012 · 36 filings
RAUM
$181M
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
n/a
beyond the principal office
Private funds
9
$190M gross assets
History
36 filings and snapshots on the tape
RAUM$181M as of Mar 31, 2017
Mar 30, 2012$393M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2017
Apr 1, 20132 then
Private funds9 as of Mar 31, 2017
Mar 30, 20129 then
RAUM +0.0% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2017; 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
$10.6MderivedRAUM 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
+0.0%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
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
17reported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Citi Masters Fund II L.P.Private Equity Fund$49.1M198Mar 30, 2012
      The Communications Fund I L.P.Private Equity Fund$43.5M477Mar 30, 2012
      Citi Masters Fund L.P.Private Equity Fund$21.4M124Mar 30, 2012
      Citi Recovery Fund L.P.Private Equity Fund$21.0M191Mar 30, 2012
      Private Selection Fund II, L.P.Private Equity Fund$20.3M299Mar 30, 2012
      New Economy Growth Partners L.P.Private Equity Fund$17.9M173Mar 30, 2012
      Citi Private Selection Fund I LLCPrivate Equity Fund$7.8M287Mar 30, 2012
      The European Mezzanine FundPrivate Equity Fund$4.7M165Mar 30, 2012
      Citi Hicks Muse Partners L.P.Private Equity Fund$4.2M108Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Jeremy Beal · Directorcontrol
        since 06/2013 · 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%
      • Cordt Benjamin Huneke · Director, Chief Executive Officer And Presidentcontrol
        since 07/2015 · owns less than 5%
      • Ira Michael Korn · Directorcontrol
        since 05/2014 · owns less than 5%
      • Gerald Colbert Narcisse · Directorcontrol
        since 12/2011 · owns less than 5%
      • L Nicole Polski · Chief Financial Officercontrol
        since 06/2016 · owns less than 5%
      • Matthew Scott Steel · Directorcontrol
        since 06/2014 · owns less than 5%
      • Gerard Timothy Hansen · Chief Compliance Officer
        since 03/2011 · 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 Private Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $252M to $181M
        Mar 12, 2015 to Mar 31, 2015
      • RAUM · $252M to $181M
        Mar 12, 2015 to Mar 31, 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 · $326M to $252M
        Jan 23, 2014 to Mar 31, 2014
      • RAUM · $326M to $252M
        Jan 23, 2014 to Mar 31, 2014
      • Accounts · 18 to 17
        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 BARNEY PRIVATE MANAGEMENT LLC
        May 31, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        May 31, 2012 to Apr 1, 2013
      • Discretionary RAUM · $393M to $326M
        May 31, 2012 to Apr 1, 2013
      • RAUM · $393M to $326M
        May 31, 2012 to Apr 1, 2013
      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