Footnotes:
1The Celent Model Wealth Manager 2023 Award for Data and Analytics was granted to Morgan Stanley Smith Barney LLC (“Morgan Stanley”) following an evaluation process conducted by Celent analysts. To be considered for this award, Morgan Stanley submitted a Model Wealth Manager 2023 Nomination Award Worksheet to Celent on or about October 2022. Celent judged each submission on three criteria: (1) Measurable business benefits of live initiatives; (2) degree of innovation relative to the industry; and (3) technology or implementation excellence. In order to win, the initiatives must demonstrate clear business benefits, innovation, and technology or implementation excellence.
The American Financial Technology Award’s Best Risk Management Initiative was awarded in 2022. This ranking was determined based on an evaluation process conducted by Waters Technology during the period from 02/09/2022 – 04/11/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Waters Technology This ranking is based on an evaluation led by Waters Technology’s editorial team, judging the content and quality of submissions. Rankings are based on the opinions of Waters Technology and this award may not be representative of any one client’s experience. This Award is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Waters Technology. For more information, see https://www.aftas.org/.
The Aite Group Impact Innovation Award for Digital Client Engagement was granted to Morgan Stanley Smith Barney LLC (“Morgan Stanley”) following an evaluation process conducted by Aite Group analysts. To be considered for this award, Morgan Stanley submitted an Impact Innovation Nomination Award Worksheet to Aite Group on March 19, 2021 and provided a live demonstration of Morgan Stanley’s Portfolio Risk Platform to representatives of Aite Group on April 7, 2021. Morgan Stanley was the only firm to win this award out of more than 40 submissions. Aite Group judged each submission on the following criteria: (1) Level of innovation and competitive advantage (2) Market needs assessment (3) Impact on customer experience (4) Impact on customer operational efficiency (5) Level of new revenue opportunity for the organization (6) Impact on customer retention/new customer attraction (7) Level of scalability across customer base (8) Future roadmap.
Aite Group does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to Aite Group in exchange for the award. Morgan Stanley is not affiliated with Aite Group. This award was granted to Morgan Stanley based on the time period from March 2021 to May 2021. Aite Group is an independent research and advisory firm focused on business, technology, and regulatory issues in financial services and is responsible for determining the recipient of this award.
The Celent Model Wealth Manager 2021 Award for Products and Platforms was granted to Morgan Stanley Smith Barney LLC (“Morgan Stanley”) following an evaluation process conducted by Celent analysts. To be considered for this award, Morgan Stanley submitted a Model Wealth Manager 2021 Nomination Award Worksheet to Celent on or about October 28, 2020 and provided a live demonstration of Morgan Stanley’s Portfolio Risk Platform to representatives of Celent on or about November 9, 2020. Morgan Stanley was the only firm to win this award out of more than 30 submissions. Celent judged each submission on three criteria: (1) Measurable business benefits of live initiatives; (2) degree of innovation relative to the industry; and (3) technology or implementation excellence. In order to win, the initiatives must demonstrate clear business benefits, innovation, and technology or implementation excellence.
Celent does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to Celent in exchange for the award. Morgan Stanley is not affiliated with Celent. This award was granted to Morgan Stanley based on the time period from October 2017 to November 2020. Celent is a global financial services research and advisory firm and is responsible for determining the recipient of this award.
Nominations for the 2019 MMI/Barron’s Industry Awards were reviewed and evaluated by a specially appointed MMI Industry Awards Steering Council and the MMI Membership Experience Committee (MEC). The council and committee members represent all segments of the MMI membership—asset managers, wealth managers and solutions providers. The Steering Council and MEC reviewed the nominations based on: (1) Level of innovation and forward-thinking; (2) Potential to effect noticeable change in the investment advisory industry; (3) Advancement of existing investment advisory practices and protocols; and (4) Potential to deliver improved outcomes for financial advisors and investors.
After carefully reviewing the nominations submitted, the Steering Council and MEC determined a slate of finalists in each award category. The primary contacts at each of MMI’s 182 members firms were eligible to vote to determine the winners in each category. Morgan Stanley was the only firm to win this award out of more than 100 submissions.
MMI/Barron’s does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to MMI/Barron’s in exchange for its receipt of the award. Morgan Stanley is a member of MMI and pays a fee to MMI as part of its membership dues. Morgan Stanley’s receipt of this award is not indicative of any future performance
Disclosures:
The Portfolio Analysis report (“Report”) is generated by Morgan Stanley Smith Barney LLC’s (“Morgan Stanley”) Portfolio Risk Platform. The assumptions used in a Report incorporate portfolio risk and scenario analysis employed by BlackRock Solutions (BRS), a financial technology and risk analytics provider that is independent of Morgan Stanley. BRS’ role is limited to providing risk analytics to Morgan Stanley, and BRS is not acting as a broker-dealer or investment adviser nor does it provide investment advice with respect to the Report. Morgan Stanley has validated and adopted the analytical conclusions of these risk models.
Any recommendations regarding external accounts/holdings are asset allocation only and do not include security recommendations.
IMPORTANT: The projections or other information provided in a Report regarding the likelihood of various investment outcomes (including any assumed rates of return and income) are hypothetical in nature, do not reflect actual investment results, and are not guarantees of future results. Hypothetical investment results have inherent limitations.
• There are frequently large differences between hypothetical and actual results.
• Hypothetical results do not represent actual results and are generally designed with the benefit of hindsight.
• They cannot account for all factors associated with risk, including the impact of financial risk in actual trading or the ability to withstand losses or to adhere to a particular trading strategy in the face of trading losses.
• There are numerous other factors related to the markets in general or to the implementation of any specific strategy that cannot be fully accounted for in the preparation of hypothetical risk results and all of which can adversely affect actual performance.
Morgan Stanley cannot give any assurances that any estimates, assumptions or other aspects of the risk analyses will prove correct. They are subject to actual known and unknown risks, uncertainties and other factors that could cause actual results to differ materially from those shown in a Report.
This material is not a solicitation of any offer to buy or sell any security or other financial instrument or to participate in any trading strategy.
© 2023 Morgan Stanley Smith Barney LLC. Member SIPC.
CRC#5792138 (07/2023)
