MORGAN STANLEY SMITH BARNEY
738 known aliases resolved via the canonical alias map
Market position · 2024
Plans served2,642+81 YoYRank #9 of mapped providers
Assets under administration$860.8B0.9%Market share · rank #14
Fees received$246MMedian $37,298/planSum across Schedule C direct + indirect
Net wins YoY+87451 won · 364 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical MORGAN STANLEY SMITH BARNEY plan look like?
Service mix · median fees per plan
Count of plans where MORGAN STANLEY SMITH BARNEY ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Soft dollars commissions; Investment advisory (plan); Investment managementCode 27 | 952 | $40,901 | |
Shareholder servicing fees; Investment managementCode 28 | 341 | $22,024 | |
Securities brokerage; Investment management; Investment advisory (participants); Investment management fees paid directly by planCode 26 | 298 | $42,701 | |
Trustee (directed); Other services; Distribution (12b-1) fees; Participant communication; Recordkeeping and information management (computing, tabulating, data processing, etc.); Account maintenance fees; Direct payment from the plan; Shareholder servicing fees; Investment advisory (plan); Trustee (bank, trust company, or similar financial institution); Redemption fees; Recordkeeping fees; Float revenue; Participant loan processing; Investment management fees paid indirectly by plan; Investment managementCode 15 | 215 | $34,109 | |
Other fees; Other commissionsCode 55 | 204 | $15,737 | |
Legal; Named fiduciary; Shareholder servicing feesCode 29 | 144 | $40,742 | |
Other services; Other fees; Other commissionsCode 49 | 129 | $0 | |
Trustee (bank, trust company, or similar financial institution); Investment advisory (plan); Custodial (securities); Investment managementCode 19 | 96 | $108,845 |
Competitor overlap
Percent of MORGAN STANLEY SMITH BARNEY's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under MORGAN STANLEY SMITH BARNEY.
| Sponsor | From | Assets |
|---|---|---|
MASS GENERAL BRIGHAM INCORPORATEDMA · 043230035-499 | ALIGHT SOLUTIONS LLC | $10.3B |
BOARD OF TRUSTEES-NEW YORK STATE NURSES ASSOCIATION PENSION PLANNY · 136604799-001 | JP MORGAN INVESTMENT MANAGEMENT INC | $5.9B |
JETBLUE AIRWAYS CORPORATIONNY · 870617894-001 | SVB STRATEGIC INVESTORS FUND VIII | $5.4B |
WESTROCK COMPANYGA · 473335141-027 | MONDRIAN INVESTMENT GROUP | $4.4B |
NATIONAL MEDICAL CARE, INC.MA · 042835488-002 | TEAL, BECKER & CHIARAMONTE CPAS PC | $4.4B |
XEROX CORPORATIONCT · 160468020-334 | VOYA RETIREMENT INSURANCE & ANNUITY | $4.0B |
JONES LANG LASALLE AMERICAS, INC.IL · 364160760-001 | STRATEGIC ADVISORS, INC. | $3.9B |
EMERSON ELECTRIC COMPANYMO · 430259330-067 | WILLIS TOWERS WATSON US LLC | $3.4B |
EASTMAN KODAK COMPANYNY · 160417150-001 | INTELLIGO GROUP USA CORP | $3.1B |
HIGHMARK HEALTHPA · 453674900-333 | ROCATON INVESTMENT ADVISORS, LLC | $3.1B |
Plans lost in 2024
Appeared last year under MORGAN STANLEY SMITH BARNEY; not this year.
| Sponsor | To | Assets |
|---|---|---|
INTERMOUNTAIN HEALTH CARE, INC.UT · 870269232-002 | GLOBAL VIEW CAPITAL MANAGEMENT | $6.0B |
CONSTELLATION ENERGY GENERATION LLCPA · 233064219-001 | STEPSTONE GROUP LP | $5.3B |
BOARD OF TRUSTEES OF NYCDCC PENSION FUNDNY · 510174276-001 | BLUE CHIP RETIREMENT PLANS, INC. | $4.8B |
SOUTHERN CALIFORNIA EDISON COMPANYCA · 951240335-001 | BLACKROCK | $4.7B |
THE ALLSTATE CORPORATIONTX · 363871531-002 | MERCER | $4.3B |
TRUSTEES OF I.B. OF T. UNION LOCAL 710 PENSION FUNDIL · 362377656-001 | ALLIED UNIVERSAL JANITORIAL SERVICE | $4.0B |
NORDSTROM, INC.WA · 910515058-001 | ALIGHT SOLUTIONS LLC | $3.9B |
THE HARTFORD FINANCIAL SERVICES GROUP, INC.CT · 133317783-001 | FIDELITY INVESTMENTS INSTITUTIONAL | $3.6B |
BOARD OF TRUSTEES, DIRECTORS GUILD OF AMERICA-CA · 952892780-001 | JP MORGAN INVESTMENT MANAGEMENT INC | $2.2B |
BOARD OF TRUSTEES, DIRECTORS GUILD OF AMERICA -CA · 956027308-002 | JP MORGAN INVESTMENT MANAGEMENT INC | $2.2B |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
INTERNATIONAL BUSINESS MACHINES CORPORATIONNY · 130871985-005 | $60.4B | 149,818 | $978,703 | 10y | - |
VERIZON COMMUNICATIONS INC.NJ · 232259884-102 | $29.4B | 119,145 | $1M | 3y | - |
CITIGROUP INC.CT · 521568099-004 | $23.2B | 121,279 | $13,347 | 7y | 1 |
INTERNATIONAL BUSINESS MACHINES CORPORATIONNY · 130871985-001 | $17.9B | 144,666 | $3M | 10y | - |
CONSOLIDATED EDISON COMPANY OF NEW YORK, INC.NY · 135009340-001 | $15.6B | 26,696 | $870,159 | 9y | - |
SOUTHERN COMPANY SERVICES, INC.GA · 630274273-001 | $15.3B | 58,166 | $2M | 9y | - |
BOARD OF TRUSTEES OF THE I.A.M. NATIONAL PENSION FUNDDC · 516031295-002 | $15.0B | 311,750 | $2M | 9y | - |
THE GOLDMAN SACHS GROUP, INC.NY · 134019460-001 | $12.8B | 49,526 | $3M | 2y | - |
U.S. BANCORPMN · 410255900-004 | $11.4B | 90,116 | $168,376 | 7y | 1 |
NORTHWELL HEALTH, INC.NY · 113418133-003 | $10.9B | 65,962 | $33,721 | 2y | - |
Flag exposure
85.7%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (738)
Raw Schedule C names collapsed into MORGAN STANLEY SMITH BARNEY.
- CGMI-MORGAN STANLEY
- CGMI-SMITH BARNEY
- CITI SMITH BARNEY
- CONSULTING GROUP MORGAN STANLEY SMI
- CONSULTING GROUP MORGAN STANLEY, SM
- CONSULTING GRP/MORGAN STANLEY SMITH
- DOBBS GROUP/GRAYSTONE/MORGAN STANLE
- GEOFFREY KORWAN/MORGAN STANLEY
- GEOFFREY LANE KALTENBACH
- GEOFFREY MCDERMID
- GEOFFREY WHITE
- GRAYSTONE CONSLTNG / MORGAN STANLEY
- GRAYSTONE CONSULTANTS
- GRAYSTONE CONSULTING
- GRAYSTONE CONSULTING (MSSB)
- GRAYSTONE CONSULTING / MORGAN STAN
- GRAYSTONE CONSULTING CINC
- GRAYSTONE CONSULTING GROUP
- GRAYSTONE CONSULTING INC
- GRAYSTONE CONSULTING MIDDLETON
- GRAYSTONE CONSULTING MORGAN STANLEY
- GRAYSTONE CONSULTING RALEIGH
- GRAYSTONE CONSULTING, LLC
- GRAYSTONE CONSULTING-MORGAN STANLAY
- GRAYSTONE CONSULTING-MORGAN STANLEY
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for MORGAN STANLEY SMITH BARNEY's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 54 | 2.04% | 7.76% | -5.72 pp |
| Fidelity bond gap | 86 | 3.26% | 26.94% | -23.69 pp |
| Late contributions | 480 | 18.17% | 1.71% | +16.45 pp |
| Failed to provide benefit | 61 | 2.31% | 0.14% | +2.17 pp |
| Corrective distributions | 532 | 20.14% | 1.76% | +18.38 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with MORGAN STANLEY SMITH BARNEY. Compare to the incumbent market share (3.9%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-3.9 pp vs incumbent
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).