Finance

Morgan Stanley’s Portfolio Risk Platform Wins American Financial Technology Award for Best Risk Management Initiative

The Firm’s Portfolio Risk Platform has been recognized by the American Financial Technology Awards for its risk management capabilities

NEW YORK, December 07, 2022–(BUSINESS WIRE)–Morgan Stanley (NYSE: MS) today announced The Portfolio Risk Platform has been awarded an American Financial Technology Award for Best Risk Management Initiative. This is the Portfolio Risk Platform’s fourth year in a row winning an industry award.

The American Financial Technology Awards selected the Risk Platform based on its ability to manage its risk exposure on a pre-and post-trade basis, incorporating a mix of reliable and transparent risk measures, underpinned by a high-performance computing architecture.

Powered by BlackRock’s Aladdin Wealth technology, Morgan Stanley’s Portfolio Risk Platform provides Financial Advisors with access to detailed analytics and reporting, including stress scenarios and the ability to model potential changes to a client’s portfolio. Analytics from the Platform are visually organized within distinct Insights dashboards, allowing Financial Advisors to analyze portfolio risk across client accounts in an efficient manner.

The Portfolio Risk Platform has received three additional industry awards since the platform launched in 2018 that includes Money Management Institute (MMI) and Barron’s award for digital innovation in 2019, the Celent Model Wealth Manager 2021 Award in the Products and Platforms category, and Aite Group’s 2021 Digital Innovation in Wealth Management Impact Innovation Award for Digital Client Engagement.

For more information about Morgan Stanley Wealth Management’s Portfolio Risk Platform, please visit: https://players.brightcove.net/644391012001/S1g5wv8HqW_default/index.html?videoId=6128686733001

About Morgan Stanley

Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 41 countries, the Firm’s employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit www.morganstanley.com.

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/.

Morgan Stanley Smith Barney LLC offers investment program services through a variety of investment programs, which are opened pursuant to written client agreements. Each program offers investment managers, funds and features that are not available in other programs; conversely, some investment managers, funds or investment strategies may be available in more than one program. Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on a client’s specific investment objectives and financial position, may not be appropriate for the client. Please see the applicable program disclosure document for more information, available at www.morganstanley.com/ADV.

This material has been prepared for informational purposes only and cannot be distributed to members of the public. This material is not an offer to buy or sell or a solicitation of any offer to buy or sell any security or other financial instrument or to participate in any trading strategy. It is important that Financial Advisors and Private Wealth Advisors adhere to all Morgan Stanley Smith Barney LLC solicitation policies and procedures.

This material has been prepared without consideration of the investment objectives, risk tolerance or financial circumstances of any specific investor. Before making a recommendation, the Financial Advisor or Private Wealth Advisor must (i) have a reasonable basis for such a recommendation, (ii) take into account the client’s circumstances, objectives and risk tolerance to ensure it is appropriate for the client, (iii) remind the client that Morgan Stanley Smith Barney LLC does not render advice on tax and tax accounting matters and urge the client to consult his/her personal tax and/or legal advisor to learn about any potential tax or other implications that may result from acting on a particular recommendation and (iv) inform the client of the risks applicable to the particular investment recommendation.

This material may provide the addresses of, or contain hyperlinks to, websites. Except to the extent to which the material refers to website material of Morgan Stanley Wealth Management, the firm has not reviewed the linked site. Equally, except to the extent to which the material refers to website material of Morgan Stanley Wealth Management, the firm takes no responsibility for, and makes no representations or warranties whatsoever as to, the data and information contained therein. Such address or hyperlink (including addresses or hyperlinks to website material of Morgan Stanley Wealth Management) is provided solely for your convenience and information and the content of the linked site does not in any way form part of this document. Accessing such website or following such link through the material or the website of the firm shall be at your own risk and we shall have no liability arising out of, or in connection with, any such referenced website. Morgan Stanley Wealth Management is a business of Morgan Stanley Smith Barney LLC.

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.

©2022 Morgan Stanley Smith Barney LLC, Member SIP

CRC 5274894 12/20222

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Contacts

Media Relations: mediainquiries@morganstanley.com

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