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Managed Money
ADV Brochures and Privacy Notices
Click the relevant links below to view and print the ADV brochure and privacy notice for Morgan Stanley Smith Barney LLC and any third party investment manager or sub-manager managing your account. (Some privacy notices are in the same PDF as the ADV brochure.) To view or print the documents, you need to install Adobe Reader (available free of charge at Adobe's Web site).
Please review these documents carefully. For more information, please contact your Financial Advisor or Private Wealth Advisor.
We have changed the names of some programs. If you do not recognize your program in the following list, click here.
To view brochure supplements for your Financial Advisor, Private Wealth Advisor, or other investment professionals, please use our Brochure Supplement Locator.
Morgan Stanley Smith Barney - ADV Brochures
- 401(k) Advisor
- Alternatives Investment Program
- Consulting and Evaluation Services (asset-based fee)
- Consulting and Evaluation Services (commission-based fee)
- Consulting Group Advisor
- Exchange Traded Funds
- Fiduciary Asset Management
- Fiduciary Asset Management – Institutional
- Fiduciary Services
- Fiduciary Services – Legg Mason
- Financial Planning Services
- Global Investment Solutions
- Graystone Consulting
- Guided Portfolio Management
- Institutional Cash Management
- Institutional Consulting Services (asset-based fee)
- Institutional Consulting Services (commission-based-fee)
- Investment Management Services (asset-based fee)
- Investment Management Services (commission-based fee)
- Legg Mason Private Portfolios (asset-based fee)
- Legg Mason Private Portfolios (commission-based fee)
- Portfolio Management
- Select UMA®
- Smith Barney Advisor
- Smith Barney Collective Funds Asset Allocation
- Smith Barney TRAK 401(k)
- Strategic Portfolios
- TRAK CGCM
- TRAK Fund Solution
- TRAK NAV
Morgan Stanley Private Wealth Management - ADV Brochures
Third Party Investment Managers/Sub-Managers – ADV Brochures and Privacy Notices
A
- Active Investment Advisors (Natixis)
- Advanced Investment Partners
- AEW Capital Management (Natixis)
- Affinity Investment Advisors, LLC
- Aletheia Research and Management
- AllianceBernstein L.P.
- Allianz Global Investors
- Anchor Capital Advisors LLC
- Apex Capital Management, Inc.
- Appleton Partners, Inc.
- Ariel Investments, LLC
- Armstrong Shaw Associates
- Ashfield Capital Partners, LLC
- Atalanta Sosnoff Capital LLC
- Atlanta Capital Management (Eaton Vance)
B
- Baird Investment Management
- Berkshire Asset Management
- Blackrock
- The Boston Company Asset Management (Dreyfus)
- Boston Trust & Investment Management Company
- Bowling Portfolio Management, LLC
- Boyd Watterson Asset Management, LLC
- Brandes Investment Partners
- Brandywine Global Investment Management
- Breckinridge Capital
- Buckhead Capital Management, LLC
C
- Cadinha & Co., LLC
- Calamos Advisors LLC
- Cambiar Investors LLC
- Cambridge Financial Group, Inc.
- Chartwell Investment Partners
- Cincinnati Asset Management, Inc.
- ClearBridge Advisors (Legg Mason)
- Clover Capital Management (Federated MDTA LLC)
- Cohen & Steers Capital Management
- Columbia Management
- Columbia Partners Investment Mgmt.
- Columbus Circle Investors
- Congress Asset Management Company
- Cornerstone Investment Partners, LLC
- Cramer Rosenthal McGlynn
- Crawford Investment Counsel, Inc.
- Cumberland Advisors
D
E
F
- Farr, Miller & Washington, LLC
- Fayez Sarofim & Co.
- Federated Clover Investment Advisors (Federated Global Investment Management Corp.)
- Federated Investment Counseling
- Fifth Third Asset Management
- First Trust Advisors L P
- Flippin, Bruce & Porter, Inc
- Forward Management, LLC
- Forward Uniplan
- Fox Asset Management
- Franklin Templeton Portfolio Advisors
- FTPA Small Cap Growth
- FTPA Intermediate Municipal
- FTPA International Equity
- FTPA Small Global Equity
- FTPA Small Intermediate Fixed and Government Only
- FTPA Small Global Balanced
- FTPA Large Cap Value Balanced Municipal
- Fred Alger Management, Inc.
- Frontier Partners
G
H
I
J
K
L
M
- Mackay Shields (New York Life Investment Management)
- Macquarie Allegiance Capital (Delaware Capital Management)
- Madison Investment Advisors, Inc.
- Marsico Capital Management
- MBSC Securities Corporation ("MBSC")
- McDonnell Investment Management, LLC
- MDT Advisers
- Metropolitan West Capital Management
- MFS Investment Management
- Miller/Howard Investments, Inc.
- Minneapolis Portfolio Management Group
- Missouri Valley Partners
- Montag & Caldwell
- Moody Aldrich Partners
- Morgan Stanley Investment Management
- Munder Capital Management
N
- Nationwide Fund Advisors
- Natixis Asset Management Advisors
- Navellier & Associates, Inc.
- Neuberger Berman
- New Amsterdam Partners
- Newgate Capital Management
- Newton Capital Management
- NFJ Investment Group (Allianz Global Investors)
- Northern Trust Value Investors
- NorthRoad Capital Management LLC/DSM Capital Partners
- Nuveen Asset Management
- NWQ Investment Management
- NY Life Investment Management (Mackay Shields)
O
P
- Pacific Income Advisers
- Pacific Investment Management PIMCO (Allianz Global Investors)
- Parametric Portfolio Associates
- PENN Capital Management
- Philadelphia International Advisors
- Piedmont Investment Advisors
- Pinnacle Associates Ltd.
- Polen Capital Management
- Principal Global Investors
- Principal Real Estate Investors
- Putnam Investment Management
Q
R
- RBC Global Asset Management
- Red Granite Advisors LLC
- Reed Conner & Birdwell LLC
- Renaissance Investment Management
- Riazzi Asset Management
- Riverbridge Partners, LLC
- Riverfront Investment Group
- Riversource (Columbia)
- Robeco Investment Management, Inc.
- The Roosevelt Investment Group
- Rothschild Asset Management, Inc.
S
- Sage Advisory Services, Ltd. Co.
- Sands Capital Management, LLC
- Santa Barbara Asset Management
- Santa Barbara Asset Management (Taxable Fixed Income Accounts)
- Schafer Cullen Capital Management
- Scharf Investments
- Schroders Investment Management
- Security Global Investors, LLC
- Segall Bryant & Hamill Invst Counsel
- Seix Advisors
- Silvercrest Asset Management
- Smith Asset Management Group
- Snow Capital Management, LP
- Sovereign Asset Management (Manulife Asset Management)
- Spectrum Asset Management
- Stacey Braun Associates, Inc.
- Sterling Capital Management
- Stonebridge Advisors
- Symphony Asset Managment
- Systematic Financial Management
T
V
W
Z
For more information, please contact your Financial Advisor.
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