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 846 retirement plans with 100 or more participants for plan year 2024, covering 1,761,481 participant records. Most often it is reported for investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $54.0M. Per plan, the median was $75.27 per participant, with the middle half of plans between $36.63 and $145. 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 California (144), New York (97) and Ohio (44).
In 2013 it appeared on 6 such filings; in 2024, 860. 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 | $36.63 | $75.27 | $145 |
| Compensation as a share of plan net assets | 0.06% | 0.15% | 0.23% |
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 |
|---|---|---|---|---|---|
| IAM National Pension Fund | Board of Trustees of the I.A.M. National Pension Fund | DC | 311,750 | $14.7B | $1.9M |
| Tenet Healthcare Corporation 401(k) Retirement Savings Plan | Tenet Healthcare Corporation | TX | 146,003 | $8.69B | $212K |
| Bayada Home Health Care 401(k) Plan | Bayada Home Health Care Inc. | NJ | 50,157 | $399M | $100K |
| Hyatt Corporation Retirement Savings Plan | Hyatt Corporation | IL | 45,742 | $2.49B | $75K |
| Innova Solutions, Inc. Retirement Savings Plan | Innova Solutions, Inc. | GA | 40,018 | $349M | $207K |
| Encompass Health Corporation 401(k) Retirement Plan | Encompass Health Corporation | AL | 39,155 | $1.72B | $60K |
| Greystar 401(k) Plan | Greystar Management Services, LLC. | TX | 37,076 | $757M | $21K |
| Automotive Industries Pension Plan | Board of Trustees Automotive Industries Pension Plan | CA | 22,897 | $2.12B | $933K |
| Amalgamated Transit Union National 401(k) Pension Plan | Board of Trustees of the Amalgamated Transit Union | IL | 22,720 | $267M | $63K |
| R&L Carriers, Inc. 401(k) Retirement Savings Plan | R&L Carriers, Inc. | OH | 22,449 | $472M | $45K |
| Greater Pennsylvania Carpenters' Pension Fund | Greater Pennsylvania Carpenters' Pension Fund | PA | 21,052 | $1.61B | $318K |
| Waste Connections, Inc. 401(k) Profit Sharing Plan | Waste Connections, Inc. | TX | 19,471 | $799M | $359K |
| Demoulas (Restated) Profit Sharing Plan & Trust | Demoulas Super Markets, Inc. | MA | 19,337 | $1.12B | $0 |
| Alorica 401(k) Retirement Plan | Alorica, Inc. | CA | 18,734 | $146M | $93K |
| Constellation Software (U.S.A.) Inc. Retirement Savings Plan | Csi USA Inc. | IL | 18,022 | $1.61B | $99K |
| Seafarers Pension Plan | Board of Trustees Seafarers Pension Plan | MD | 17,705 | $2.06B | $2.1M |
| Indiana State Council of Carpenters Pension Fund | Board of Trustees Indiana State Council of Carpenters Pension Fund | MI | 17,170 | $1.35B | $1.9M |
| Virtua 401(k) Savings Plan | Virtua Health, Inc. | NJ | 17,106 | $1.18B | $85K |
| Trugreen Profit Sharing and Retirement Plan | Trugreen Limited Partnership | TN | 16,390 | $466M | $53K |
| Franchise Group, Inc. 401(k) Plan | Franchise Group, Inc. | OH | 14,759 | $149M | $67K |
| UFCW Local 2013 Annuity Fund | Board of Trustees UFCW Local 2013 Annuity Fund | NY | 13,811 | $34.7M | $20K |
| Prospect Medical Retirement Savings Plan a | Prospect Medical Holdings, Inc. | CA | 13,551 | $552M | $162K |
| GMP & Employers Pension Plan | GMP & Employers Pension Plan | OH | 12,939 | $565M | $216K |
| Sheet Metal Workers Pension Plan of Northern California | Sheet Metal Workers Pension Trust | CA | 12,741 | $1.57B | $769K |
| SRS Distribution Inc. 401(k) Plan | SRS Distribution Inc. | TX | 12,672 | $575M | $77K |
| Nhca and Affiliates Retirement and Savings Plan | Board of Trustees of the Nhca and Affiliates Ret and Savings Plan | NY | 12,592 | $228M | $50K |
| Highgate Hotels 401(k) Plan | Highgate Hotels, L.P. | TX | 11,379 | $171M | $144K |
| IUOE Stationary Engineers Local 39 Pension Plan | Bot of IUOE Stationary Engineers Local 39 Pension Plan | CA | 10,962 | $1.95B | $2.0M |
| Hawai'i Pacific Health 403(b) Savings Plan | Hawai'i Pacific Health | HI | 10,412 | $1.53B | $235K |
| Carlisle, LLC Employee Incentive Savings Plan | Carlisle, LLC | AZ | 9,306 | $870M | $21K |
| Bally's 401(k) Plan | Bally's Management Group, LLC | RI | 8,822 | $175M | $110K |
| Tech Mahindra Americas 401(k) Plan | Tech Mahindra (Americas) Inc. | TX | 8,723 | $136M | $149K |
| Club Retirement Plan | The Club Management Association of America | VA | 8,662 | $263M | $11K |
| Concord Hospitality Enterprises Company, LLC 401(k) Plan | Concord Hospitality Enterprises Company, LLC | NC | 8,552 | $73.8M | $86K |
| Local No. 731, I.B. of T., Pension Fund | Local No. 731, I.B. of T., Pension Fund | IL | 8,408 | $1.10B | $491K |
| Alphastaff Retirement Savings Plan | Alphastaff Group, Inc. | FL | 8,302 | $252M | $129K |
| Tawa Supermarket, Inc. 401(k) Plan | Tawa Supermarket, Inc. | CA | 8,261 | $193M | $15K |
| Annuity FD of the IUOE Local Union 94, 94A, 94B AFL-CIO | BD of Trustees Annuity Fund of the IUOE LCL Union 94, 94A, 94B AFL-CIO | NY | 7,900 | $1.82B | $83K |
| Prospect Medical Retirement Savings Plan B | Prospect Medical Holdings, Inc. | CA | 7,657 | $297M | $83K |
| Stationary Engineers Local 39 Annuity Trust Fund | Bd. of Trust. of Stationary Engineers Loc. 39 Annuity | CA | 7,498 | $315M | $100K |
Questions and answers
How many plans does Morgan Stanley Smith Barney LLC serve?
846 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 $75.27 per participant in direct and indirect compensation (805 plans reporting an amount), or 0.15% 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) (272 plans), Other services (226 plans), Investment advisory (participants) (201 plans) and Recordkeeping and information management (162 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.