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FINRA/SEC Registered Advisors

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Firm Name
MORGAN STANLEYPurchase, NY
No. of Advisors29300
AUM$1,402,425,838,334
No. of Clients2405783
Fee StructureA percentage of AUM, Fixed fees, Commission Based, Performance Based, Other (SEE SCHEDULE D MISCELLANEOUS)
No. of Advisors6407
AUM$1,288,497,806,439
No. of Clients2184
Fee StructureA percentage of AUM, Fixed fees, Performance Based
No. of Advisors34934
AUM$1,271,593,679,276
No. of Clients2911578
Fee StructureA percentage of AUM, Fixed fees, Commission Based
Firm Name
No. of Advisors221
AUM$869,677,370,186
No. of Clients306
Fee StructureA percentage of AUM
No. of Advisors492
AUM$535,031,832,553
No. of Clients25406
Fee StructureA percentage of AUM, Fixed fees, Performance Based
Firm Name
No. of Advisors5550
AUM$505,942,442,915
No. of Clients16
Fee StructureA percentage of AUM, Performance Based, Other (REIMBURSEMENT OF EXPENSES)
Firm Name
No. of Advisors2909
AUM$504,069,852,027
No. of Clients842
Fee StructureA percentage of AUM, Performance Based, Other (CARRIED INTEREST)
No. of Advisors823
AUM$477,863,691,247
No. of Clients353642
Fee StructureA percentage of AUM, Fixed fees, Performance Based
Firm Name
No. of Advisors398
AUM$368,621,852,285
No. of Clients139
Fee StructureA percentage of AUM, Fixed fees, Performance Based, Other (INVESTED CAPITAL)
No. of Advisors96
AUM$339,697,579,697
No. of Clients117
Fee StructureA percentage of AUM
No. of Advisors1668
AUM$337,283,181,637
No. of Clients41354
Fee StructureA percentage of AUM, Fixed fees, Performance Based
No. of Advisors1635
AUM$307,733,342,981
No. of Clients125
Fee StructureA percentage of AUM, Performance Based
Firm Name
NYL INVESTORS LLCNew York, NY
No. of Advisors312
AUM$300,897,738,311
No. of Clients112
Fee StructureA percentage of AUM, Fixed fees, Performance Based, Other (ORIGINATION FEES OF REAL ESTATE LOANS/ PRIVATE PLACEMENT DEALS)
No. of Advisors745
AUM$292,912,547,772
No. of Clients941857
Fee StructureA percentage of AUM, Performance Based, Other (PYMT/REIMB OF FULLY-LOADED COSTS FOR PROVIDING INVST SERVICES)
Firm Name
No. of Advisors8476
AUM$259,962,335,074
No. of Clients477674
Fee StructureA percentage of AUM, Fixed fees

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