Morgan Stanley Smith Barney Venture Services LLC (New York)

Morgan Stanley Smith Barney Venture Services LLC is a large advisory firm based in New York. It manages $91.57 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009.

Morgan Stanley Smith Barney Venture Services provides portfolio management to private investment funds. 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 Smith Barney Venture Services: assets under management

The assets under management (AUM) of Morgan Stanley Smith Barney Venture Services LLC is $91.57 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $91.57 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $91.57 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Morgan Stanley Smith Barney Venture Services LLC for their services and products based on a percentage of assets under management 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 James Vincent Bruno serves?

The only and largest group of clients of James Vincent Bruno is pooled investment vehicles with 1 clients and $91.57 million of assets under management. Among the 2 most similar advisory firms, Morgan Stanley Smith Barney Venture Services has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $91.57 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Morgan Stanley Smith Barney Venture Services also advises several private funds. Namely, one hedge fund and three private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Morgan Stanley Smith Barney Venture Services LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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 receive compensation from other entities for client referrals.

James Vincent Bruno has been acting as President since 1 Dec 2011. Michael Anthony Annunziata joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Morgan Stanley Smith Barney Holdings Llc	Member	1 May 2009	75% - 100%	26-4310632
Matthew Paul Knapp	Chief compliance officer	1 Jun 2009	Other	2514353
James Patrick Gorman	Chief executive officer	1 Sep 2009	Other	4026328
Charles Dean Johnston	President	1 Sep 2009	Other	861838
Jeffrey Allen Gelfand	Chief financial officer	1 Sep 2009	Other	3198911
Eric Fredric Grossman	Vice president	1 Sep 2009	Other	5081462
James Arthur Rosenthal	Vice president	1 Sep 2009	Other	4490808
Debra Marsha Aaron	Vice president	1 Sep 2009	Other	1572676
Jeffrey S Brodsky	Vice president	1 Sep 2009	Other	1729074
Harvey Bertram Mogenson	Vice president	1 Sep 2009	Other	2883209
Louis Angelo Palladino	Vice president	1 Sep 2009	Other	2630899
Bruce R Sandberg	Vice president	1 Sep 2009	Other	1827143
Jessica G. Gorman Taylor	Vice president	1 Sep 2009	Other	1504143
Michael Patrick Mcgrath	Vice president	1 Oct 2009	Other	2059989
William Joseph O'sullivan	Vice president	1 Oct 2009	Other	1595469
Robert John Creaney	Vice president	1 Feb 2010	Other	2740452
Eric J Marmoll	Vice president	1 Feb 2010	Other	3104026
Timothy Gerard Hansen	Chief compliance officer	1 Mar 2011	Other	4956475
Gregory J Fleming	President	1 Mar 2011	Other	2338986
Walter Edward Rein	Vice president	1 Mar 2011	Other	2603194
Ethan J Schiffman	Vice president	1 Mar 2011	Other	4159232
James Vincent Bruno	Director	1 Dec 2011	Other	4348998
Colbert Gerald Narcisse	Director, president and chief executive officer	1 Dec 2011	Other	2275432
Christian Michael Angstadt	Chief financial officer	1 Dec 2011	Other	2063783
James V Bruno	Director	1 Dec 2011	Other	4348998
Walter John Davis	Director	1 Dec 2011	Other	4063567
Colbert G Narcisse	Director	1 Dec 2011	Other	2275432
Michelle Oroschakoff	Director	1 Dec 2011	Other	2403199
Charles Louis Reinhard	Director	1 Dec 2011	Other	2163729
John Sweeney	Director	1 Dec 2011	Other	2554291
Christian M Angstadt	Chief financial officer	1 Dec 2011	Other	2063783
Jeffrey Ian Hack	Chief executive officer and president	1 Dec 2011	Other	1729213
Patrick Michael Reid	Director	1 Mar 2013	Other	5257012
Jeremy Beal	Director	1 Jun 2013	Other	4557494
Andrew Michael Davies	Director	1 Jun 2013	Other	5644254
John Vincent Leale	Director	1 Sep 2013	Other	1704436
Michael Ira Korn	Director	1 May 2014	Other	2755884
Scott Matthew Steel	Director	1 Jun 2014	Other	4427925
Benjamin Cordt Huneke	Director, chief executive officer and president	1 Jul 2015	Other	2796985
Allen Friedman	Chief financial officer	1 Jul 2015	Other	6288797
Nicole L Polski	Chief financial officer	1 Jun 2016	Other	4867860
Inc. Morgan Stanley Domestic Holdings	Member	1 Jan 2017	75% - 100%	20-8764829
Michael Anthony Annunziata	Chief compliance officer	1 Mar 2017	Other	5519501
Marianne Motley	Director	1 Oct 2017	Other	2138584
Michael Anthony Annunziata	Chief compliance officer	1 Mar 2018	Other	5519501

Indirect Owners

The SEC currently registers 23 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Citigroup Inc.	Shareholder	1 Nov 1997	75% - 100%	52-1568099
Morgan Stanley	Shareholder	1 May 1998	75% - 100%	36-3145972
Citigroup Financial Products Inc.	Shareholder	1 Sep 1998	75% - 100%	13-2340203
Citigroup Global Markets Holdings Inc.	Shareholder	1 Sep 1998	75% - 100%	11-2418067
Morgan Stanley	Shareholder	1 Oct 2002	75% - 100%	36-3145972
Citigroup Inc.	Shareholder	1 Jan 2005	75% - 100%	52-1568099
Morgan Stanley Capital Management Llc	Shareholder	1 Mar 2007	75% - 100%	11-3658445
Morgan Stanley & Co. Incorporated	Member	1 Feb 2009	50% - 75%	8209
Citigroup Global Markets Inc.	Member	1 Feb 2009	25% - 50%	7059
Morgan Stanley & Co. Llc	Member	1 Feb 2009	75% - 100%	8209
Morgan Stanley Jv Holdings Llc	Member	1 May 2009	25% - 50%	27-0274564
Morgan Stanley	Member	1 May 2009	75% - 100%	36-3145972
Ms Alpha Holdings Llc	Member	1 May 2009	50% - 75%	27-0191161
Ms Beta Holdings Llc	Member	1 May 2009	25% - 50%	27-0203230
Ms Financing Inc.	Member	1 May 2009	75% - 100%	13-3375162
Morgan Stanley Tower Llc	Shareholder	1 May 2009	75% - 100%	36-3145972
Morgan Stanley Commercial Financial Services	Member	1 Dec 2010	25% - 50%	13-4116856
Inc. Morgan Stanley Domestic Holdings	Shareholder	1 May 2011	25% - 50%	20-8764829
Morgan Stanley Domestic Holdings Inc.	Shareholder	1 May 2011	75% - 100%	20-8764829
Citicorp Banking Corporation	Shareholder	1 Nov 2011	75% - 100%	13-3012736
Inc. Citicorp North America	Memeber	1 Nov 2011	75% - 100%	13-2938684
Citigroup Niagara Holdings Llc	Member	1 Dec 2011	25% - 50%	26-0293966
Ms Financing Inc.	Member	1 Oct 2014	25% - 50%	13-3375162

Based in New York

The principal office where Morgan Stanley Smith Barney Venture Services LLC performs its advisory services is located at 522 Fifth Avenue, 13 Th Floor, New York, NY 10036, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-296-6444. The normal business hours are 9:00am-5:00pm on Monday - Friday.