Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Morgan Stanley Smith Barney
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 is named as a service provider on the Schedule C of 25 retirement plans with 100 or more participants for plan year 2024, covering 67,693 participant records. Most often it is reported for investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $2.8M. Per plan, the median was $92.05 per participant, with the middle half of plans between $29.24 and $217. 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 Michigan (6), New York (5) and Pennsylvania (4).
In 2009 it appeared on 235 such filings; in 2024, 26 (down 89%). 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 | $29.24 | $92.05 | $217 |
| Compensation as a share of plan net assets | 0.02% | 0.08% | 0.27% |
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 |
|---|---|---|---|---|---|
| UFCW Union & Partcipating Food Industry Employers Tri-State Pension Fund | UFCW Union & Participating Food Industry Employers Tri-State Pension F | PA | 29,592 | $869M | $95K |
| Michigan Regional Council of Carpenters' Annuity Fund | Joint Board of Trustees of Mi Reg Council of Carpenters Annuity Fund | MI | 17,503 | $527M | $443K |
| UFCW 360 Shop Rite Pension Fund | UFCW 360 Shop Rite Pension Fund | PA | 4,199 | $32.7M | $10K |
| Painters Union Pension Plan | Painters Union Pension Fund Trustees | MI | 2,552 | $203M | $554K |
| Teamsters' Construction Industry & Misc Pension Fund | Teamsters' Construction Industry | PA | 1,997 | $228M | $50K |
| Bricklayers' Pension Trust Fund-Metropolitan Area | Joint Board of Trustees Bricklayer Pension Trust Fund | MI | 1,954 | $188M | $65K |
| Orohealth Corporation Retirement Plan | Orohealth Corporation | CA | 1,816 | $26.5M | $188K |
| Local 837 Pension Plan | Local 837 Pension Plan Board of Trustees | PA | 1,298 | $20.4M | $40K |
| Ehs - Local 153 Pension Plan | Bd. of Trustees, Amended & Restated Hip-Local 153 Pension Plan | NY | 962 | $105M | $28K |
| Kramer Levin Associates Savings & Investment Plan | Herbert Smith Freehills Kramer (US) LLP | NY | 830 | $166M | $23K |
| Regional Cancer Care Associates LLC 401(k) Profit Sharing Plan | Regional Cancer Care Associates LLC | NJ | 817 | $126M | $26K |
| Kalamazoo Plumbers & Pipefitters Local 357 401(k) Plan | Board of Trustees of the Kalamazoo Plumbers & Pipefitters 357 401(k) | MI | 549 | $30.8M | $18K |
| Kramer Levin Profit-Sharing Retirement Plan | Herbert Smith Freehills Kramer (US) LLP | NY | 506 | $424M | $35K |
| Wacker Salaried Pension Plan | Wacker Chemical Corporation | MI | 447 | $96.8M | $476K |
| Brazos Electric Power Cooperative Inc. Pension Plan | Brazos Electric Power Cooperative Inc. | TX | 354 | $109M | $50K |
| Teamsters Joint Council No. 73 Pension & Trust Fund | Trustees of Teamsters Joint Council No. 73 Pension & Trust Fund | NJ | 339 | $34.6M | $81K |
| Kramer Levin Employees' Retirement Plan | Herbert Smith Freehills Kramer (US) LLP | NY | 312 | $38.6M | $7,332 |
| Baker Distributing Corporation 401(k) Profit Sharing Plan | Baker Distributing Corporation | VT | 282 | $10.4M | $26K |
| Peters Heating and Air Conditioning, Inc. Profit Sharing Plan | Peters Heating & Air Conditioning, Inc. | IL | 236 | $17.1M | $143K |
| Wacker Hourly Pension Plan | Wacker Chemical Corporation | MI | 229 | $38.1M | $187K |
| Stimpson Employee 401(k) Plan | Edwin B. Stimpson Company, Inc. | FL | 217 | $27.1M | $32K |
| Kramer Levin Savings & Investment Plan | Herbert Smith Freehills Kramer (US) LLP | NY | 215 | $186M | $25K |
| Ronetco Supermarkets, Inc. Employees' Retirement Plan | Ronetco Supermarkets,inc. | NJ | 200 | $18.6M | $138K |
| Hunt Midwest Enterprises, Inc. Defined Contribution Plan | Hunt Midwest Enterprises, Inc. | MO | 166 | $37.0M | $31K |
| Red Spot Paint & Varnish Co., Inc. Retirement Income Plan | Red Spot Paint & Varnish Co., Inc. | IN | 121 | $9.1M | $77K |
Questions and answers
How many plans does Morgan Stanley Smith Barney serve?
25 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?
The median plan reported $92.05 per participant in direct and indirect compensation (25 plans reporting an amount), or 0.08% 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) (18 plans), Investment management (12 plans), Named fiduciary (4 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.