RIA Intel›Advisers›New York›MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Advisory

N·NEW YORK, NY

Data as of Mar 23, 2026 · Source: SEC Form ADV

Total AUM
$1.8T
1-Year AUM Growth
+18.8%
3-Year CAGR
+5.6%
Employees
25,721
Assets Under Management
Total AUM$1.8T
Discretionary AUM$441.3B
Non-Discretionary AUM$1.3T
Discretionary %25.7%
Total Clients1,738,212
Team
Total Employees25,721
Investment Advisers32,960
Employee Growth (1Y)0.0%
Filing History
Total Filings on Record741
First FilingDec 15, 2000
Latest FilingMar 23, 2026
🔒 Full AUM trend chart and 741 historical filings spanning 26+ years
Sign up free to view →
Registration
Status—
Registration Date—
SEC RegisteredYes
Exempt ReportingNo
⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

Sign up free to unlock
📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

Sign up free to unlock
👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

Sign up free to unlock
🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Sign up free to unlock

Get the full picture on MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.

Sign up free →