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.
For plan year 2024, 35 retirement plans with 100 or more participants reported paying Morgan Stanley Smith Barney LLC $5,000 or more. Those plans cover 81,368 participant records, and the service most often reported is investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $3.9M. Per plan, the median was $101 per participant, with the middle half of plans between $25.84 and $194. 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 (6), Pennsylvania (4) and Michigan (4).
In 2009 it appeared on 37 such filings; in 2024, 35. 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 | $25.84 | $101 | $194 |
| Compensation as a share of plan net assets | 0.06% | 0.20% | 0.35% |
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 |
|---|---|---|---|---|---|
| Greater Pennsylvania Carpenters' Pension Fund | Greater Pennsylvania Carpenters' Pension Fund | PA | 21,052 | $1.61B | $415K |
| Station Casinos LLC & Affiliates 401(k) Retirement Plan | Station Casinos LLC | NV | 12,164 | $313M | $50K |
| Community Foundation of Northwest Indiana 403(b) Retirement Plan | Community Foundation of Northwest Indiana, Inc. | IN | 10,067 | $440M | $15K |
| Cfni Retirement Plan | Community Foundation of Northwest Indiana, Inc. | IN | 8,493 | $233M | $15K |
| Michigan Electrical Employees' Pension Plan | Trustees of Michigan Electrical Employees' Pension Fund | MI | 5,375 | $543M | $1.1M |
| Smart Local Unions and Councils Pension Fund | Board of Trustees of the Smart Local Unions and Councils Pension Fund | VA | 3,053 | $397M | $234K |
| Abatement Workers National Defined Contribution Pension Plan | Abatement Workers National Defined Contribution Pension Plan | MI | 2,629 | $45.2M | $90K |
| Froedtert South, Inc. Employees' Pension Plan | Froedtert South, Inc. | WI | 2,512 | $236M | $448K |
| Plumbers & Pipefitters Lu No. 74 Annuity Fund | BD of Tte of Plum & Pipe Lu No. 74 Pipefitters Lu No. 74 Annuity Fund | DE | 1,914 | $98.6M | $73K |
| Laborers Local No. 1822 Defined Contribution Plan | Trustees of Laborers Local No. 1822 Defined Contribution Plan | NY | 1,214 | $6.2M | $16K |
| Plumbers & Pipefitters Local Union No. 74 Pension Fund | BD of Ttee of Plum & Pipe Lu No 74 Pipefitters Lu No. 74 Pension Fund | PA | 1,177 | $184M | $28K |
| Delaware North Companies Gaming and Entertainment Inc. West Virginia Retirement Savings Plan | Wheeling Island Gaming, Inc. | NY | 1,152 | $28.7M | $7,000 |
| Brach's Confections, Inc. Retirement Plan | Barry Callebaut USA Service Company, Inc. | IL | 1,141 | $49.5M | $300K |
| Greater South Florida Ironworkers Annuity Trust Fu | Trustees of Ironworkers Local Union No. 402 Annuity Trust Fund | PA | 937 | $9.1M | $24K |
| North Atlanta Primary Care 401(k) Plan | North Atlanta Primary Care | GA | 886 | $22.1M | $10K |
| Gaming Laboratories International, LLC Profit Sharing Plan | Gaming Laboratories International, LLC | NJ | 783 | $84.7M | $0 |
| Ashtabula County Medical Center Retirement Plan | Ashtabula County Medical Center | OH | 673 | $30.8M | $146K |
| Sheet Metal 7 Zone 3 Pension Fund | Sheet Metal 7 Zone 3 Pension Fund | MI | 571 | $65.4M | $116K |
| Peabody Motor Sports, Inc. 401(k) Profit Sharing Plan | Peabody Motor Sports, Inc. | MA | 555 | $38.1M | $83K |
| Laborers' Int'l Union of NA Local 1822 Pension Fun | Trustees of Laborers Int'l Union of NA Local Union No. 1822 Pension Fu | NY | 524 | $36.5M | $102K |
| Aztec Well Servicing Co., Inc. 401(k) Profit Sharing Plan | Aztec Well Servicing Company Inc. | NM | 455 | $10.5M | $0 |
| Valley Health Services, Inc. Employee Savings and Protection Plan | Valley Health Services, Inc. | NY | 419 | $11.4M | $21K |
| Ironworkers Local Union No. 402 Pension Fund | Trustees of Ironworkers Local Union No. 402 Pension Fund | PA | 401 | $15.4M | $70K |
| Baton Rouge Orthopaedic Clinic, LLC Profit Sharing Plan and Trust | Baton Rouge Orthopaedic Clinic, LLC | LA | 399 | $82.7M | $22K |
| Care Hawaii, Inc. 401(k) Retirement Savings Plan | Care Hawaii, Inc. | HI | 330 | $3.4M | $22K |
| Fabiano Brothers, Inc. 401(k) Plan | Fabiano Brothers, Inc. | MI | 321 | $34.4M | $33K |
| Monteleone Interests Profit Sharing and 401(k) Plan and Trust | New Hotel Monteleone, L.L.C. | LA | 319 | $19.4M | $42K |
| Valley Stream Payroll Corp. 401(k) Plan | Valley Stream Payroll Corp. | NY | 289 | $23.8M | $58K |
| Parker Jewish Institute for Health Care & Rehab Defined Benefit Pension Plan | Parker Jewish Institute for Health Care and Rehabilitation | NY | 284 | $24.2M | $120K |
| Eads Cooling Solutions, LLC 401(k) Plan | Eads Cooling Solutions, LLC | TX | 265 | $8.1M | $36K |
| Alaska Heart Institute, LLC Cash Balance Plan | Alaska Heart Institute, LLC | AK | 227 | $12.4M | $30K |
| Integrated Behavioral Health 401(k) Plan | Integrated Behavioral Health | AL | 221 | $4.6M | $16K |
| Biourja Holdings, LLC 401(k) Profit Sharing Plan | Biourja Holdings, LLC | TX | 220 | $12.5M | $47K |
| MVB Bank, Inc. 401(k) Retirement Plan | MVB Bank, Inc. | WV | 179 | $11.1M | $21K |
| Retirement Plan for Employees of Fordyce Company | The Fordyce Company | TX | 167 | $16.6M | $129K |
Questions and answers
How many plans does Morgan Stanley Smith Barney LLC serve?
35 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 $101 per participant in direct and indirect compensation (33 plans reporting an amount), or 0.20% 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) (16 plans), Custodial (securities) (9 plans), Investment management (7 plans) and Securities brokerage (4 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.