Michael Hatch, CFP®, CPWA®, CIMA®
Executive Director, Private Wealth Advisor, Lending Specialist, Workplace Advisor - Equity Compensation
Phone:
(310) 297-3771(310) 297-3771
Morgan Stanley Private Wealth Management
The Hatch Doshi Group
Direct:
(310) 297-3771(310) 297-3771
Our Mission Statement
The Hatch Doshi Group brings more than 80 years of collective experience to a select group of clientele. Our mission is to help simplify our clients’ lives by managing their investments, collaborating with their other trusted advisors, helping with executive services, assisting with family governance, facilitating multigenerational wealth transfer and supporting their philanthropic endeavors.
Our Story and Services
The Hatch Doshi Group brings more than 80 years of collective experience to a select group of clientele. Our clients rely on our team’s diverse backgrounds and proficiencies to help them manage their financial wealth and health. We seek to strengthen each family’s financial standing and strive every day to add value to those whom we are privileged to call our clients.
As your trusted advisors, we start by helping you define your unique goals and concerns, which serve as the blueprint for your personalized financial plan. We simplify your wealth management process not only by managing investments, but also by collaborating with other trusted advisors, providing executive services, assisting with family governance, facilitating multigenerational wealth transfer and supporting philanthropic endeavors. Our team has taken a pledge to provide consistent communication, thorough transparency, and to put our clients first.
As your trusted advisors, we start by helping you define your unique goals and concerns, which serve as the blueprint for your personalized financial plan. We simplify your wealth management process not only by managing investments, but also by collaborating with other trusted advisors, providing executive services, assisting with family governance, facilitating multigenerational wealth transfer and supporting philanthropic endeavors. Our team has taken a pledge to provide consistent communication, thorough transparency, and to put our clients first.
Capabilities
- Comprehensive Wealth Planning
- Estate Planning StrategiesFootnote1
- Family Governance & Wealth Education
- Cash Management and Lending ProductsFootnote2
- Hedging Strategies
- Risk Management
- Insurance SolutionsFootnote3
- Philanthropy Management
- Trust ServicesFootnote4
- Wealth ManagementFootnote5
- Structured ProductsFootnote6
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Our Planning Process
Whether it’s building a plan to achieve your goals, modeling your executive compensation, or strategizing on succession planning, our financial planning process seeks to fortify your family’s wealth and protect what you’ve worked so hard to build.
Step 1: Assessing your Situation & Defining Your Goals
Our process begins by inventorying and analyzing your important financial documents in order to thoroughly understand all aspects of your financial life. We will also work with you to help you define your financial goals.
Step 2: Financial Plan Construction & Delivery
We will examine scenarios that take a number of variables into consideration, including saving/spending rates, portfolio allocation and hypothetical investment returns. It is at this stage that we will deliver your custom-tailored plan that best aligns with your unique needs and goals.
Step 3: Coordination & Action
We include your other trusted advisors, such as your accountant and attorney, throughout our process. Together we will prioritize a list of actionable items to fortify and protect your family’s wealth.
Step 4: Ongoing Communication & Monitoring
Financial planning is an ongoing process, so we will continuously monitor your plan and make any necessary revisions based on life events. Our process not only helps you make complicated decisions confidently, but also provides peace of mind that everything related to your finances has been addressed.
Executive Resources
Business Planning
With prime Private Wealth Management and Institutional Capabilities, we provide access to the knowledge needed to help grow and monetize your business, and to address the complex challenges of managing significant entrepreneurial wealth.
Click Here to Learn More About Business Planning
Pre Liquidity Planning
For Startup Founders and Executives, an impending exit can be both exciting and overwhelming. A successful exit provides the opportunity to reap the benefits of hard work, but founders may miss out on opportunities due to the inherent complexity of liquidity events.
Find Out More Here
Stock & Stock Options
Executives today are increasingly compensated with stock or stock options. However, exercising stock options presents a number of difficult—and sometimes divergent—choices. Accordingly, it is critical that an executive understand the risk of investing financial assets and the potential reward of preferential income tax treatment.
Basic Rules10b5-1 Trading Plan
Equity is an exciting addition to every officer's, director's and other insider's compensation plan. Helping your team protect and grow this asset is a top priority, but so is minimizing insider trading concerns. The right structure can help create compliance clarity for both your company and your insiders.
What is a Rule 10b5-1 Trading Plan?Our Capabilities
Family Governance & Wealth Education
We will work together to help open the lines of communication between you and your family to ensure that all members of your family will have the financial foundation they need to lead meaningful, fulfilled and engaged lives.
Wealth Education Development Plan
Reserved Living & Giving
Reserved Living & Giving is a tiered complimentary loyalty program that rewards Morgan Stanley’s most valued clients. Members can enjoy special discounts and timely insights to support them at home and beyond. Join 150,000 Reserved Living & Giving members who saved more than $38 million on over 60 premium brands.
Full Offering
Cybersecurity Habits
Whether it’s strengthening your passwords or treating emails from unknown senders with more caution, you can take a number of steps to reduce the threat of identity theft, online scams, malware, fraud and more.
Cybersecurity Checklist
Cash Management and Lending Products
Smart cash management is a critical part of successful wealth management. Learn what else a CashPlus Account can do for you in this short video.
Click Here to Watch
Philanthropy Management
Philanthropy Management Supports Individuals, Families, Corporate and Private Foundations, and
Non-profit Organizations by Offering a Suite of Services to Help Define and Realize Clients’ Charitable Missions.
Non-profit Organizations by Offering a Suite of Services to Help Define and Realize Clients’ Charitable Missions.
Family Office Resources
When it comes to providing institutional-level support for your family office, scale matters. Our offering aims to bring together specialized investment services and operational support to enhance your life and legacy.
Family Office ResourcesLocation
2141 Rosecrans Ave
Ste 3100
El Segundo, CA 90245
US
Direct:
(310) 297-3771(310) 297-3771
Fax:
(310) 359-8070(310) 359-8070
1999 Avenue of the Stars, Ste 2400
Los Angeles, CA 90067
US
Direct:
(310) 297-3772(310) 297-3772
Meet The Hatch Doshi Group
Harshal Doshi, CPWA®
Executive Director, Private Wealth Advisor, Lending Specialist, Workplace Advisor - Equity Compensation
Phone:
(310) 297-3772(310) 297-3772
Kimberly Myers, CFP®
Assistant Vice President, Wealth Management Associate
Phone:
(310) 297-3773(310) 297-3773
Michael Ashburn
Assistant Vice President, Business Development Specialist
Phone:
(310) 297-3774(310) 297-3774
About Michael Hatch
Michael began his career on the institutional side as an assistant vice president at TCW Investment Management Company. Becoming a financial advisor in 2003, Michael directs financial planning for the group, creating strategies for clients to address complex financial issues and helping them pursue their goals. Michael also assists in investment manager research/selection, portfolio construction and asset allocation. Clients depend on his personal experience, extensive credentials and integrity to help them preserve their wealth for themselves and their families. He has experience in estate planning and wealth transfer strategies and philanthropic planning. Residing in Manhattan Beach with his wife, Audra, and daughters, Charlee and Alex, Mike enjoys being active within his community. Michael currently sits on the Advisory Board of the Manhattan Beach Country Club, Greenhouse Scholars, serves on the boards of the Los Angeles Sports Council and its foundation, as well as the Southern California Committee for the Olympic Games. As an Eagle Scout, he enjoys the outdoors, particularly hunting and fishing.
Previous experience
–UBS Financial Services, Inc.
–TCW Investment Management
Awards and designations
–Forbes Best-In-State Wealth Advisors, CA, 2023
–Forbes Best-In-State Wealth Advisors, CA, 2020
–Forbes Best-In-State Wealth Advisors, CA, 2019
–Certified Financial PlannerTM (CFP®) professional
–Certified Investment Management Analyst® (CIMA®)
–Certified Private Wealth Associate (CPWA®)
FINRA licenses
–Series 7, 63 and 65 securities licenses; insurance license
Education
–B.S., economics and organizational communications, University of Utah
Source: Forbes.com (Awarded Jan 2023) Data compiled by SHOOK Research LLC based on time period from 3/31/21 – 3/31/22.
Awards Disclosures
2019-2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2020). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Previous experience
–UBS Financial Services, Inc.
–TCW Investment Management
Awards and designations
–Forbes Best-In-State Wealth Advisors, CA, 2023
–Forbes Best-In-State Wealth Advisors, CA, 2020
–Forbes Best-In-State Wealth Advisors, CA, 2019
–Certified Financial PlannerTM (CFP®) professional
–Certified Investment Management Analyst® (CIMA®)
–Certified Private Wealth Associate (CPWA®)
FINRA licenses
–Series 7, 63 and 65 securities licenses; insurance license
Education
–B.S., economics and organizational communications, University of Utah
Source: Forbes.com (Awarded Jan 2023) Data compiled by SHOOK Research LLC based on time period from 3/31/21 – 3/31/22.
Awards Disclosures
2019-2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2020). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Securities Agent: CO, RI, CT, AL, NY, MI, NJ, WA, PA, OK, HI, DE, TX, NV, MD, AZ, WY, OR, IL, FL, AK, UT, NH, MT, MO, CA; General Securities Representative; Investment Advisor Representative
NMLS#: 2050330
CA Insurance License #: 0E00734
NMLS#: 2050330
CA Insurance License #: 0E00734
About Harshal Doshi
Born in India and raised in Los Angeles, Harshal became financially independent at 17 and put himself through college. This unique perspective, coupled with a deep understanding of the economy and the capital markets, makes Harshal an excellent resource to help clients with financial decision-making. Becoming a financial advisor in 2003, Harshal facilitates trading and stock selection, along with top-down and bottom-up level research for clients. He focuses on taxable and tax-free fixed income, and is in charge of individual security analysis, as well as overall asset allocation for our team. An avid reader, Harshal enjoys traveling and spending quality time with his daughter, Jaya. He actively supports a number of charitable groups that are dedicated to improving the lives of children with special needs.
Previous Experience
–UBS Financial Services, Inc.
Awards and designations
–Forbes Best-In-State Wealth Advisors, CA, 2025
–Forbes Best-In-State Wealth Advisors, CA, 2023
–Forbes Best-In-State Wealth Advisors, CA, 2020
–Forbes Best-In-State Wealth Advisors, CA, 2019
–Forbes America’s Top Next-Generation Wealth Advisors, 2018
–Certified Private Wealth Associate (CPWA®)
FINRA licenses
–Series 7 and 66 securities licenses; insurance license
Education
–B.S., economics and international development studies, with a minor in political science, University of California, Los Angeles
Source: Forbes.com (Awarded Jan 2025) Data compiled by SHOOK Research LLC based on time period from 3/31/23 – 3/31/24.
Source: Forbes.com (Awarded Jan 2023) Data compiled by SHOOK Research LLC based on time period from 3/31/21 – 3/31/22.
Awards Disclosures
2019-2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2020). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Top 1,000 Next Gen Wealth Advisors
Source: Forbes.com (Awarded Jul 2018) Data compiled by SHOOK Research LLC based on time period from 3/31/17 - 3/31/18.
Previous Experience
–UBS Financial Services, Inc.
Awards and designations
–Forbes Best-In-State Wealth Advisors, CA, 2025
–Forbes Best-In-State Wealth Advisors, CA, 2023
–Forbes Best-In-State Wealth Advisors, CA, 2020
–Forbes Best-In-State Wealth Advisors, CA, 2019
–Forbes America’s Top Next-Generation Wealth Advisors, 2018
–Certified Private Wealth Associate (CPWA®)
FINRA licenses
–Series 7 and 66 securities licenses; insurance license
Education
–B.S., economics and international development studies, with a minor in political science, University of California, Los Angeles
Source: Forbes.com (Awarded Jan 2025) Data compiled by SHOOK Research LLC based on time period from 3/31/23 – 3/31/24.
Source: Forbes.com (Awarded Jan 2023) Data compiled by SHOOK Research LLC based on time period from 3/31/21 – 3/31/22.
Awards Disclosures
2019-2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2020). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Top 1,000 Next Gen Wealth Advisors
Source: Forbes.com (Awarded Jul 2018) Data compiled by SHOOK Research LLC based on time period from 3/31/17 - 3/31/18.
Securities Agent: MI, MT, IL, CT, UT, NY, AK, OR, WY, NJ, MO, HI, FL, WA, RI, NV, DE, CO, AL, MD, TX, NH, CA, AZ, PA, OK; General Securities Representative; Investment Advisor Representative
NMLS#: 2050124
CA Insurance License #: 0E01959
NMLS#: 2050124
CA Insurance License #: 0E01959
About Kimberly Myers
Kimberly started in the business in 2003. Prior to joining the team, she worked as the Investment Analyst in the Downtown Los Angeles office of UBS. Kim is a Certified Financial PlannerTM professional and holds her Series 7 and 66 securities licenses. Her passion for helping others, along with her hunger to constantly learn, help her to oversee our financial planning process. Kim helps our executive clients with their deferred compensation, Rule 144 restricted transactions, banking and lending services, Medicare and Social Security strategies. Kimberly graduated from the University of Miami with a B.S. in international finance and marketing and a B.S. in business management. In her free time, she enjoys running, hiking and traveling to adventurous places around the world. She also coaches for the Westside Special Olympics.
Previous Employment
–UBS Financial Services, Inc.
Designations
– Certified Financial PlannerTM (CFP®) professional
FINRA licenses
– Series 7 and 66 securities licenses
Education
–B.S., international finance and marketing–B.S., business management, University of Miami
Previous Employment
–UBS Financial Services, Inc.
Designations
– Certified Financial PlannerTM (CFP®) professional
FINRA licenses
– Series 7 and 66 securities licenses
Education
–B.S., international finance and marketing–B.S., business management, University of Miami
About Michael Ashburn
Michael started in the industry in 2006 and obtained his Series 7 and 66 securities licenses shortly thereafter. His dependability, tremendous work ethic, diligence and meticulous attention to detail make him naturally suited for our team. He manages the daily operations of the team, who, along with our clients, rely on him for execution. Michael focuses on corporate and executive services, such as Rule 144 restricted stock/options, complex credit strategies and insurance/long-term care solutions. Michael has an M.B.A. from the University of Detroit Mercy, a B.A. in management and psychology from the University of Michigan-Dearborn, as well as a degree in culinary arts from Schoolcraft College. Michael lives in Rancho Mission Viejo, with his wife, Julia and son James, they are both very active with their church.
Previous Employment
–UBS Financial Services, Inc.
FINRA licenses
–Series 7 and 66 securities licenses
Education
–M.B.A., University of Detroit Mercy
–B.A., management and psychology, University of Michigan, Dearborn
Previous Employment
–UBS Financial Services, Inc.
FINRA licenses
–Series 7 and 66 securities licenses
Education
–M.B.A., University of Detroit Mercy
–B.A., management and psychology, University of Michigan, Dearborn
Contact Michael Hatch
Contact Harshal Doshi
Wealth Management
Global Investment Office
Portfolio Insights
Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
- Managing Family Wealth
LISTEN | Passion Assets: Investing in Art
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Managing Significant Wealth
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
Funding Climate Action: Pathways for Philanthropy
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Insights and Outcomes
Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
2Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
3Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
4Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
5Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
6Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures
1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
2Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
3Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
4Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
5Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
6Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures
CRC 4237142 (02/2025)
