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Morgan Stanley Investment Management Inc. (New York)


Morgan Stanley Investment Management Inc. is a large advisory firm based in New York. It manages $299.58 billion of regulatory assets for 9,385 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

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Morgan Stanley Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Morgan Stanley Investment Management: assets under management

The assets under management (AUM) of Morgan Stanley Investment Management Inc. is $299.58 billion. The firm's AUM has grown by 482% since the beginning of its operation, and $117.48 billion of the total AUM is attributable to clients outside of the United States.


The firm manages $296.46 billion in discretionary accounts and $3.12 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $31.64 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $207.78 million.
Morgan Stanley Investment Management has custody of $7.64 billion in cash and securities for 17 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 34% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Morgan Stanley Investment Management Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mitchell Moses Merin serves?

The firm provides services to insurance companies, investment companies, charitable organizations, other investment advisers, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Mitchell Moses Merin is investment companies with 42 clients and $149.7 billion of assets under management. Among the 8 most similar advisory firms, Morgan Stanley Investment Management has the 2nd highest percentage of investment companies out of all clients.


The amount of regulatory assets under management is $273.06 billion for 269 clients. 39% of the firm’s clients are foreign persons or businesses.

Morgan Stanley Investment Management also advises several private funds. Namely, nine hedge funds, thirteen other private funds, and two private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000,000.

Careers at Morgan Stanley Investment Management Inc.

The company employs 883 people that are either part- or full-time employees. 23 percent of the employees work as investment advisers or researchers. 25 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Mitchell Moses Merin has been acting as President since 1 Nov 2000. Joseph John Mcalinden has served as the Chief Investment Officer since 1 Nov 2000. Stefanie Vanessa Chang Yu joined the executive team most recently as the General Counsel, Secretary & Managing Director.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Barton Michael Biggs Chairman, director & md 1 Sep 1980 Other 21328
Morgan Stanley Beneficial owner 1 May 1997 75% - 100% 36-3145972
Morgan Stanley Dean Witter & Co. Beneficial owner 1 May 1997 75% - 100% 36-3145972
Alexander Charles Frank Treasurer 1 Jun 1998 Other 2046878
Richard Brown Worley President, director & md 1 Jan 1999 Other 472838
Arthur Jason Lev General counsel, managing director & secretary 1 May 2000 Other 2760145
Mitchell Moses Merin Director 1 Nov 2000 Other 1605328
Joseph John Mcalinden Chief investment officer 1 Nov 2000 Other 1519479
Rajeh Kumar Gupta Chief administrative officer-investments 1 Nov 2000 Other 1730260
Rajesh Kumar Gupta Chief administrative officer-investments & md 1 Nov 2000 Other 1730260
Ronald Elwin Robison Managing director & chief operations officer 1 Apr 2001 Other 2005224
James Peter Wallin Chief compliance officer & executive director 1 Jan 2002 Other 1228876
Mitchell Moses Merin President, director & md 1 May 2002 Other 1605328
Barry Fink General counsel, director & secretary 1 May 2002 Other 1568039
Jeffrey Hiller Managing director and global director of compliance 1 Oct 2002 Other 2612970
Carsten Otto Executive director & chief compliance officer 1 Jun 2004 Other 2688833
Alan Scheuer Treasurer 1 Jun 2004 Other 1351469
Jonathan Stuart Thomas Director & managing director 1 Jan 2005 Other 1581086
Owen David Thomas Acting president 1 Sep 2005 Other 1748613
Owen David Thomas President 1 Dec 2005 Other 1748613
Owen Thomas President & managing director 1 Dec 2005 Other 1748613
Kenneth Castiglia Chief financial officer, treasurer & managing director 1 Jan 2006 Other 2543371
Dennis Francis Shea Chief investment officer, head of global equity & managing director 1 Feb 2006 Other 1410202
James David Germany Chief investment officer, global fixed income & managing director 1 Feb 2006 Other 1748523
Arthur Jason Lev General counsel & managing director 1 Dec 2006 Other 2760145
Joanne Pace Chief operating officer & managing director 1 Dec 2006 Other 2172202
William Gillespie Caffray Vice chairman & managing director 1 Dec 2006 Other 845856
Mary Ann Picciotto Executive director & chief compliance officer 1 Jun 2007 Other 4235357
Stuart Bohart President, director & managing director 1 Feb 2008 Other 2603191
Randolph Scott Takian Director & managing director 1 Sep 2008 Other 2684819
Jeffrey Allen Gelfand Chief financial officer, treasurer & managing director 1 Feb 2009 Other 3198911
Kevin Michael Klingert Head of global fixed income, acting chief investment officer & managing director 1 Feb 2009 Other 1477924
Mark Patten Chief financial officer, treaurer & managing director 1 Sep 2009 Other 1352783
Gregory J Fleming President & managing director 1 Jul 2010 Other 2338986
Sara H Furber Director & managing director 1 Jul 2010 Other 2912596
James Troy Janover Director & managing director 1 Jul 2010 Other 2818307
Edmond N Moriarty Director & managing director 1 Jul 2010 Other 1744318
Paul Evan Julius Chief financial officer, treasurer & managing director 1 Aug 2010 Other 2877339
Christopher Leroy Odell General counsel, secretary & managing director 1 Nov 2010 Other 3149189
Jeffrey Allen Gelfand Chief financial officer & managing director 1 Feb 2012 Other 3198911
Karen Cassidy Treasurer & managing director 1 Jul 2012 Other 5926625
Kevin Michael Klingert Director & managing director 1 Mar 2013 Other 1477924
Arthur Jason Lev Director & managing director 1 Mar 2013 Other 2760145
Maryalice Dunne Managing director & director 1 Jun 2013 Other 1731222
Stefanie Vanessa Chang Yu Chief compliance officer & managing director 1 Jan 2014 Other 2983493
Feta Zabeli Director, managing director 1 Jan 2015 Other 5113547
Jason Pizzorusso Treasurer, managing director 1 Feb 2015 Other 4684148
Feta Zabeli Director, managing director 1 Feb 2015 Other 5113547
Edmond N Moriarty Director & managing director 1 Apr 2015 Other 1744318
Michael Paul Levy Director & managing director 1 Apr 2015 Other 2156468
Daniel Aaron Simkowitz President & managing director 1 Mar 2016 Other 1719867
David Newell Heaton Chief financial officer, managing director & director 1 Mar 2016 Other 2535077
Anita Rios Treasurer & executive director 1 Jun 2016 Other 2138217
Timothy John Knierim Chief compliance officer & managing director 1 Dec 2016 Other 4746062
John Patrick Hagarty Director & managing director 1 Dec 2016 Other 2478739
Paul C Wirth Chief financial officer & managing director 1 Jun 2017 Other 4761592
Anchal Pachnanda Director & managing director 1 Jun 2017 Other 4219555
Morgan Stanley Capital Management Llc Benefical owner 1 Jun 2017 75% - 100% 11-3658445
Jeannine Vienna Ali Chief financial officer & managing director 1 Nov 2017 Other 1810707
Stefanie Vanessa Chang Yu General counsel, secretary & managing director 1 Oct 2018 Other 2983493

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Morgan Stanley Shareholder 1 Oct 2002 75% - 100% 36-3145972

Based in New York

The principal office where Morgan Stanley Investment Management Inc. performs its advisory services is located at 522 Fifth Avenue, New York, NY 10036, which is also the mailing address of the firm. An additional office of the firm is in West Conshohocken, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-296-6600 or by fax 646-452-0390. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at morganstanley.com/im.


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