Morgan Stanley Investment Management Inc. (New York)

Name: Morgan Stanley Investment Management Inc.
Address: 522 Fifth Avenue, New York, NY, 10036
Telephone: 212-296-6600

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.

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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. 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.