{"url":"https://nivawealth.com/firms/morgan-stanley-investment-management-110353","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110353","regulatoryAum":702248681596,"crd":"110353","secFileNumber":"801-15757","legalName":"Morgan Stanley Investment Management Inc.","displayName":"Morgan Stanley Investment Management","website":"http://www.morganstanley.com/im","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"1585 Broadway","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10036"},"tradeNames":[],"registration":{"secApproved":"28 January 1981","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":670,"advisory":250,"brokerDealerReps":229,"insuranceAgents":0,"promoters":5},"aum":{"discretionary":698495678168,"discretionaryAccounts":22798,"nonDiscretionary":3753003428,"nonDiscretionaryAccounts":5,"wrapProgram":17185262384,"nonUsClientsPct":35,"nonAumClients":12},"clientTypes":[{"label":"Banking or thrift institutions","clients":1,"regulatoryAum":179448559},{"label":"Investment companies","clients":32,"regulatoryAum":390903614261},{"label":"Pooled investment vehicles","clients":44,"regulatoryAum":167026506473},{"label":"Pension and profit-sharing plans","clients":41,"regulatoryAum":16887230306},{"label":"Charitable organizations","clients":10,"regulatoryAum":7011246601},{"label":"State or municipal government entities","clients":5,"regulatoryAum":2204640455},{"label":"Other investment advisers","clients":11,"regulatoryAum":11594879492},{"label":"Insurance companies","clients":12,"regulatoryAum":8107704483},{"label":"Sovereign wealth funds and foreign official institutions","clients":16,"regulatoryAum":14060064295},{"label":"Corporations and other businesses","clients":64,"regulatoryAum":44452256507},{"label":"Other","clients":22567,"regulatoryAum":39821090164}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":37883598295},{"name":"Morgan Stanley Smith Barney LLC","shortName":"Morgan Stanley","location":"Purchase, NY","smaAssets":37832403289},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":18447259268}],"custodyNote":"Morgan Stanley Investment Management has custody of $3.30B for 13 clients.","otherCustodians":[],"leadership":[{"name":"Benjamin Huneke","title":"President & Managing Director","crd":"2796985"},{"name":"Sallymarie Diffley","title":"Chief Financial Officer & Managing Director","crd":"6029022"},{"name":"Deidre Downes","title":"Chief Compliance Officer & Managing Director","crd":"5376045"},{"name":"Lisa Buhain Winslow","title":"Director & Managing Director","crd":"4507020"},{"name":"Benjamin Hammes","title":"Head of Derivatives Advisory Compliance & Executive Director","crd":"2973966"},{"name":"Eric Kayne","title":"Director & Managing Director","crd":"2741511"},{"name":"Mary Mullin","title":"General Counsel & Managing Director","crd":"3253995"},{"name":"Scott Steel","title":"Director & Managing Director","crd":"4427925"}],"ownership":[{"label":"Morgan Stanley Capital Management, LLC","detail":"Shareholder in the 75% or more ownership band and a control person, since August 2023."},{"label":"Morgan Stanley","detail":"Indirect owner: a member of Morgan Stanley Capital Management, LLC in the 75% or more band and a control person, since October 2002.","parent":"Morgan Stanley Capital Management, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":15,"privateResidences":0},"listedOfficeAddresses":13,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"555 California Street","city":"San Francisco"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"518 Riverside Avenue","city":"Westport"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"2050 M Street NW","city":"Washington DC"}]},{"state":"Florida","offices":1,"addresses":[{"street":"200 South Biscayne BLVD","city":"Miami"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"6655 Town Square","city":"Alpharetta"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"233 South Wacker Drive","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"One Post Office Square","city":"Boston"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"3600 Minnesota Drive","city":"Minneapolis"}]},{"state":"New York","offices":2,"addresses":[{"street":"1585 Broadway","city":"New York","headquarters":true},{"street":"100 Park Avenue","city":"New York"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"100 Front Street","city":"West Conshohocken"}]},{"state":"Texas","offices":1,"addresses":[{"street":"2800 Post Oak BLVD","city":"Houston"}]},{"state":"Washington","offices":1,"addresses":[{"street":"800 Fifth Avenue","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-761-4000","stateRegisteredReps":28,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. government/agency bonds","percent":17},{"label":"U.S. state and local bonds","percent":3},{"label":"Sovereign bonds","percent":5},{"label":"Investment grade corporate bonds","percent":21},{"label":"Non-investment grade corporate bonds","percent":3},{"label":"Derivatives","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":8,"detail":"The Following Fixed Income Securities Categorized As Other: Asset Backed, CMO, Interest Only Mortgages, Mortgage, Interest and Aip Unfunded Commitments Only"}],"privateFunds":14},"sources":{"adv1FilingDate":"25 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110353/PDF/110353.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Morgan Stanley Investment Management have?","answer":"Morgan Stanley Investment Management has 22,803 clients and manages $702.2 billion for them, as of August 2026. They include 22,567 other clients, 64 corporations and other businesses and 44 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Morgan Stanley Investment Management offer?","answer":"Morgan Stanley Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Morgan Stanley Investment Management use?","answer":"Morgan Stanley Investment Management’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $37,883,598,295, Morgan Stanley Smith Barney LLC (Purchase, NY), with $37,832,403,289 and The Bank of New York Mellon (New York, NY), with $18,447,259,268. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Morgan Stanley Investment Management have?","answer":"Morgan Stanley Investment Management has 28 investment adviser representatives registered with state securities authorities, out of 670 employees, and 250 perform investment advisory functions. 229 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Morgan Stanley Investment Management invest in?","answer":"At the end of its last fiscal year, Morgan Stanley Investment Management’s separately managed accounts held 30% exchange-traded equities, 21% investment grade corporate bonds, 17% U.S. government and agency bonds, 8% the following fixed income securities categorized as other: asset backed, cmo, interest only mortgages, mortgage, interest and aip unfunded commitments only, 5% sovereign bonds, 5% cash and equivalents, 3% state and local bonds, 3% high-yield corporate bonds, 3% pooled vehicles (private funds and similar), 2% derivatives and 2% registered funds (mutual funds, ETFs, BDCs). It advises 14 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Morgan Stanley Investment Management?","answer":"Morgan Stanley Investment Management is owned through a holding company by Morgan Stanley. Its direct owner is Morgan Stanley Capital Management, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Morgan Stanley Investment Management get paid?","answer":"Morgan Stanley Investment Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}