|
⚲
|
| Keyboard |
| Merrill Lynch Pierce Fenner & Smith Incorporated
✚
|
|
|---|---|
| CRD # | 7691 |
| SEC # | 801-14235 |
| CIK # | 0000728612, 0000065106, 0000914246 |
| AUM | 1,781.57 B (2026-06-29) |
| Employees | 32,960 (78% Investors, 81% Brokers) |
| Phone | 800-637-7455 |
| Address | One Bryant Park New York, NY 10036 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Nvidia Corp | 33.3 | ||
| Apple Inc | 30.6 | ||
| Microsoft Corp | 26.2 | ||
| Alphabet Inc | 19.8 | ||
| J P Morgan Chase & Co | 19.3 | ||
| Broadcom Inc | 18.2 | ||
| Amazon Com Inc | 17.5 | ||
| Facebook Inc | 12.0 | ||
| Lilly Eli & Co | 10.2 | ||
| Alphabet Inc | 9.3 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 1,269,968 | 313.5 |
| (b) Individuals (high net worth individuals) | 521,763 | 1,227.5 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 17,422 | 58.9 |
| (h) Charitable organizations | 6,759 | 43.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 246 | 5.9 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 22,807 | 131.2 |
| (n) Other | 19 | 1.4 |
| Total | 3,253,265 | 1,781.6 |
| By Discretionary | ||
| Discretionary | 713,174 | 441.3 |
| Non-Discretionary | 2,540,091 | 1,340.3 |
| Total | 3,253,265 | 1,781.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 28.5 | |
| United States Persons | 1,753.0 | |
| Total | 3,253,265 | 1,781.6 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-NT | [0000728612] | |
| 3 | [0000728612] | |
| 4 | [0000728612] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $188.3B |
| Clients | 16,844 (1 non-US) |
| Serves | Institutional, Retail, Research |
| LEI | 8NAV47T0Y26Q87Y0QP81 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Putnam Municipal Opportunities Trust PMO
Common Stock
|
2026-03-19 | Buy | 50 | $10.57 | 528 |
|
Putnam Municipal Opportunities Trust PMO
Common Stock
|
2026-03-19 | Sell | 50 | $10.53 | 526 |
|
PIMCO Municipal Income Fund II PML
Common Stock
|
2026-03-13 | Buy | 65 | $7.74 | 503 |
|
PIMCO Municipal Income Fund II PML
Common Stock
|
2026-03-13 | Sell | 65 | $7.63 | 496 |
|
Nuveen Municipal Credit Income Fund NZF
Common Stock
|
2026-02-25 | Sell | 8 | $12.97 | 104 |
|
Nuveen Municipal Credit Income Fund NZF
Common Stock
|
2026-02-25 | Buy | 8 | $12.88 | 103 |
|
Nuveen Municipal Credit Opportunities Fund NMCO
Common Stock
|
2026-02-17 | Buy | 1,400 | $10.75 | 15,050 |
|
Nuveen Municipal Credit Opportunities Fund NMCO
Common Stock
|
2026-02-17 | Sell | 1,400 | $10.74 | 15,036 |
|
Nuveen Municipal Credit Income Fund NZF
Common Stock
|
2026-01-26 | Sell | 343 | $12.25 | 4,202 |
|
Nuveen Municipal Credit Income Fund NZF
Common Stock
|
2026-01-26 | Buy | 343 | $12.55 | 4,305 |
|
Nuveen Municipal Credit Income Fund NZF
COMMON STOCK
|
2026-01-02 | Buy | 6,075 | $12.61 | 76,606 |
|
Nuveen Municipal Credit Income Fund NZF
COMMON STOCK
|
2026-01-02 | Sell | 6,075 | $12.52 | 76,059 |
|
Nuveen Quality Municipal Income Fund NAD
Common Stock
|
2026-01-02 | Sell | 6,374 | $11.99 | 76,424 |
|
Invesco Advantage Municipal Income Trust II VKI
Common Stock
|
2026-01-02 | Buy | 8,531 | $9.08 | 77,461 |
|
Nuveen Quality Municipal Income Fund NAD
Common Stock
|
2026-01-02 | Buy | 6,374 | $12.01 | 76,552 |
|
Invesco Advantage Municipal Income Trust II VKI
Common Stock
|
2026-01-02 | Sell | 8,531 | $9.00 | 76,779 |
|
Nuveen Municipal Credit Opportunities Fund NMCO
Common Stock
|
2025-12-29 | Buy | 1,500 | $10.20 | 15,300 |
|
Nuveen Municipal Credit Opportunities Fund NMCO
Common Stock
|
2025-12-29 | Sell | 1,500 | $10.21 | 15,315 |
|
Nuveen Municipal High Income Opportunity Fund NMZ
COMMON STOCK
|
2025-12-19 | Sell | 1,000 | $10.54 | 10,540 |
|
Nuveen Municipal High Income Opportunity Fund NMZ
COMMON STOCK
|
2025-12-19 | Buy | 1,000 | $10.32 | 10,320 |
| showing 20 of 200 most recent transactions | |||||
| Comparable Firms | State | AUM |
|---|---|---|
|
Morgan Stanley Smith Barney LLC
✚
|
NY | 1,961.89 B |
|
UBS Financial Services Inc
✚
|
NJ | 915.79 B |
|
LPL Financial LLC
✚
|
SC | 819.12 B |
|
Ameriprise Financial Services LLC
✚
|
MN | 660.47 B |
|
Envestnet Asset Management Inc
✚
|
PA | 614.93 B |
|
Mitsubishi UFJ Trust and Banking Corporation
✚
|
406.96 B | |
|
Raymond James Financial Services Advisors Inc
✚
|
FL | 390.04 B |
|
Financial Engines Advisors LLC
✚
|
CA | 326.29 B |
|
RBC Capital Markets LLC
✚
|
NY | 310.43 B |
|
Voya Investment Management Co LLC
✚
|
NY | 274.95 B |