MORGAN STANLEY AIP GP LP of WEST CONSHOHOCKEN, PA is an SEC-registered investment adviser (CRD 117050). Regulatory assets under management: $40.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Kara Schiffman Fricke | GENERAL COUNSEL AND MANAGING DIRECTOR | — |
| Christopher P Smock | CHIEF COMPLIANCE OFFICER AND EXECUTIVE DIRECTOR | — |
| COATES JOHN SPENCER | BUSINESS HEAD; CHIEF INVESTMENT OFFICER; CO-BUSINESS HEAD | — |
| FINK BARRY | CHIEF LEGAL OFFICER | — |
| PULFREY CORY SCOTT | BUSINESS HEAD; CHIEF INVESTMENT OFFICER, CO-BUSINESS HEAD & PRIVATE MARKETS TEAM; CHIEF INVESTMENT OFFICER, PRIVATE MARKETS TEAM & SR. ADMINISTRATIVE OFFICER (+1 more) | — |
| OTTO CARSTEN | EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| HILLER JEFFREY | MANAGING DIRECTOR AND GLOBAL DIRECTOR OF COMPLIANCE | — |
| COES RUFUS PUTNAM | CHIEF OPERATING OFFICER | — |
| PETERSON BERNARD VINCENT | CHIEF LEGAL OFFICER | — |
| LEV ARTHUR JASON | BUSINESS HEAD; CHIEF LEGAL OFFICER | — |
| ODELL CHRISTOPHER LEROY | CHIEF LEGAL OFFICER; GENERAL COUNSEL AND MANAGING DIRECTOR | — |
| FRICK PAUL ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| KNIERIM TIMOTHY JOHN | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR; CHIEF COMPLIANCE OFFICER & EXECUTIVE OFFICER | — |
| CHANG STEFANIE VANESSA | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR; GENERAL COUNSEL AND MANAGING DIRECTOR; GENERAL COUNSEL AND VICE PRESIDENT | — |
| MORIARTY EDMOND N | BUSINESS HEAD | — |
| WALLIN JAMES PETER | CHIEF COMPLIANCE OFFICER | — |
| CHIA MELISSA MARASIGAN | CHIEF COMPLIANCE OFFICER | — |
| BAESEL J | CHIEF INVESTMENT OFFICER, LIQUID MARKETS TEAM | — |
| CHAPPUIS JACQUES P | BUSINESS HEAD | — |
| MALONEY MARY JANE | CHIEF COMPLIANCE OFFICER | — |
| BAESEL JEROME | CHIEF INVESTMENT OFFICER, LIQUID MARKETS TEAM | — |
| ALTHAM ALASTAIR | CHIEF ADMINISTRATIVE OFFICER | — |
| PECKHAM REBECCA FRANCES | CHIEF COMPLIANCE OFFICER AND EXECUTIVE DIRECTOR | — |
| SMOCK CHRISTOPHER P | CHIEF COMPLIANCE OFFICER AND EXECUTIVE DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-08-24 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $71K |
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-03-22 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2015-12-22 | regulatory | PURSUANT TO AN OFFER OF SETTLEMENT, THE SEC FOUND, AND THE REGISTRANT NEITHER ADMITTED NOR DENIED, THAT MSIM WILLFULLY VIOLATED SECTION 17(A)(3) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), VIOLATED SECTION 206(4) OF THE… | Final | $8.0M |