Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Morgan Stanley Smith Barney LLC
Most often reported for investment advisory and management
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
Morgan Stanley Smith Barney LLC is named as a service provider on the Schedule C of 155 retirement plans with 100 or more participants for plan year 2024, covering 622,693 participant records. Most often it is reported for investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $23.2M. Per plan, the median was $53.48 per participant, with the middle half of plans between $14.99 and $136. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in New York (26), California (17) and Colorado (12).
In 2023 it appeared on 79 such filings; in 2024, 156 (up 97%). Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $14.99 | $53.48 | $136 |
| Compensation as a share of plan net assets | 0.01% | 0.07% | 0.18% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| Fresenius Medical Care North America 401(k) Savings Plan | National Medical Care, Inc. | MA | 71,611 | $4.37B | $44K |
| Pace Industry Union-Management Pension Fund | Pace Industry Union-Management Pension Fund | TN | 60,684 | $2.82B | $300K |
| Central Midwest Regional Council of Carpenters Defined Contribution Pension Plan | Trustees of Central Midwest Regional Council of Carpenters DC Pension | MI | 55,172 | $1.59B | $175K |
| Ohio Carpenters' Pension Plan | Trustees of Ohio Carpenters' Pension Plan | MI | 31,115 | $2.12B | $1.7M |
| Demoulas (Restated) Profit Sharing Plan & Trust | Demoulas Super Markets, Inc. | MA | 19,337 | $1.12B | $2.1M |
| Cornerstone Building Brands 401(k) Profit Sharing Plan | Cornerstone Building Brands, Inc. | TX | 18,428 | $845M | $21K |
| Dish Network Corporation 401(k) Plan | Dish Network Corporation | CO | 17,683 | $1.64B | $20K |
| Barnes & Noble 401(k) Plan | Barnes & Noble, Inc. | NY | 16,213 | $790M | $21K |
| Laborers District Council of W PA Pension Fund | Laborers District Council of W PA Pension Fund Board of Trustees | PA | 16,000 | $947M | $178K |
| Heavy and General Laborers' Local Unions 472 and 172 of New Jersey Pension Fund | Board of Trustees H&GL Local Unions 472 & 172 of NJ Pension Fund | NJ | 14,241 | $1.75B | $702K |
| P.F. Chang's China Bistro, Inc. 401(k) Plan | P.F. Chang's China Bistro, Inc. | AZ | 14,081 | $50.1M | $20K |
| Usw Industry 401(k) Plan | The Board of Trustees Usw Industry 401(k) Fund | TN | 12,604 | $396M | $26K |
| Operating Engineers Local #49 Defined Contribution Plan | Trustees of Operating Engineers Local #49 Defined Contribution Plan | MN | 12,571 | $71.0M | $53K |
| Valero Energy Corporation Pension Plan | Valero Energy Corporation | TX | 11,896 | $2.63B | $210K |
| Xcel Energy Pension Plan and Xcel Energy Pension Plan for Bargaining Employees | Xcel Energy Inc. | MN | 11,750 | $1.24B | $126K |
| Sheet Metal Workers' Pension Plan of Southern California Arizona and Nevada | Board of Trustees, Sheet Metal Workers' Pension Plan | CA | 11,552 | $1.42B | $2.5M |
| Frontier Airlines, Inc. 401(k) Retirement Plan | Frontier Airlines, Inc. | CO | 8,889 | $962M | $38K |
| Carters 401(k) Savings Plan | The William Carter Company | GA | 8,196 | $318M | $19K |
| International Union of Operating Engineers Local 841 Qualified Savings Plan | Trustees of the International Union of Operating Engineers | IN | 7,071 | $160M | $271K |
| Goodwill Industries of Southeastern Wisconsin, Inc. 403(b) Plan | Goodwill Industries of Southeastern Wisconsin, Inc. | WI | 6,796 | $29.9M | $12K |
| New Century Energies, Inc. Retirement Plan for Public Service Company of Colorado Bargaining Unit Ees and Former Non-Bargaining Unit Ees | Xcel Energy Inc. | MN | 6,472 | $860M | $80K |
| Cement Masons Pension Trust Fund for Northern California | Cement Masons Pension Trust Fund for N.cal | CA | 5,984 | $775M | $150K |
| Tidalhealth Pension Plan | Tidalhealth, Inc. | MD | 5,981 | $163M | $298K |
| Gen Digital Inc. 401(k) Plan | Gen Digital Inc. | AZ | 5,512 | $1.08B | $83K |
| Employees' Retirement Plan of Bose Corporation | Bose Corporation | MA | 5,343 | $866M | $609K |
| Oceaneering Retirement Investment Plan | Oceaneering International, Inc. | TX | 5,250 | $829M | $24K |
| IBEW Local 1249 Pension Plan | IBEW Local 1249 Pension Fund Board of Trustees | NY | 5,077 | $664M | $120K |
| Sheet Metal Workers Local Union No 20 Defined Contribution Pension Plan | Trustees Sheet Metal Workers Local No. 20 Defined Contribution Pension | IN | 4,611 | $107M | $98K |
| Northwood 401(k) Savings Plan | Northwood Investors LLC | CO | 4,346 | $74.1M | $74K |
| Avalonbay Communities, Inc. Associates Savings Plan | Avalonbay Communities, Inc. | VA | 4,268 | $385M | $21K |
| Altium Packaging 401(k) Plan | Altium Packaging LP | GA | 3,970 | $160M | $58K |
| Premier Healthcare Solutions, Inc. Retirement Savings Plan | Premier Healthcare Solutions, Inc. | NC | 3,969 | $742M | $35K |
| The Retirement Plan of Rady Childrens Hospital and Health Center | Rady Children's Health | CA | 3,836 | $475M | $80K |
| PS Logistics 401(k) Plan | PS Logistics, LLC | AL | 3,813 | $20.5M | $48K |
| IBEW Local 1249 Annuity Fund | IBEW Local 1249 Annuity Fund | NY | 3,697 | $38.8M | $20K |
| Smart Local 265 Pension Fund | Trustees of the Smart Local 265 Pension Fund | IL | 3,363 | $607M | $506K |
| I.B.E.W. Local Union 481 Defined Contribution Plan | IBEW Local Union 481 Defined Contribution | IN | 3,320 | $295M | $75K |
| Local 580 Pension Fund | Board of Trustees Local 580 Pension Fund | NY | 3,282 | $927M | $84K |
| Laborers Local 1298 of Nassau & Suffolk Counties Pension Fund | Board of Trustees Local 1298 Pension Fund | NY | 3,227 | $473M | $107K |
| Iron Workers District Council of TN Valley & Vicinity Pension Plan | Iron Workers District Council of TN Valley & Vicinity Pension Plan | TN | 3,203 | $184M | $308K |
Questions and answers
How many plans does Morgan Stanley Smith Barney LLC serve?
155 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay Morgan Stanley Smith Barney LLC?
The median plan reported $53.48 per participant in direct and indirect compensation (153 plans reporting an amount), or 0.07% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (plan) (102 plans), Securities brokerage (52 plans), Other services (43 plans) and Custodial (securities) (30 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.