Morgan Stevens Asset Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$74,370,686
Clients
69
Advisors
2
of 2 employees
About
Morgan Stevens Asset Management provides discretionary portfolio management to individuals, high‑net‑worth clients, and corporate or business entities, delivering customized investment policy statements and ongoing portfolio monitoring. The firm constructs diversified portfolios that may include mutual funds, equities, fixed income, ETFs, real estate funds (including REITs), private placements, venture capital interests and annuities.
MSAM’s investment process draws on a mix of fundamental, technical, charting, cyclical and quantitative analysis and applies modern portfolio theory to define asset allocation and risk targets. The firm explicitly discloses the use of margin (borrowing) and options strategies, indicating it employs leverage and derivatives in client accounts when appropriate.
Notable operational features include a small, closely managed team with a single listed management person overseeing account reviews, and disclosed affiliations with other private investment entities for which it provides administrative services. The firm also discloses that a principal is a licensed insurance agent and may offer commissionable insurance products, a relationship it identifies as a potential conflict of interest and discloses to clients.
Client services
Expertise
Fee options
$0 - $200,000: 1.20% $200,001 - $500,000: 1.05% $500,001 - $1,000,000: 0.90% $1,000,001 - $2,000,000: 0.80% $2,000,001 - $3,500,000: 0.70% $3,500,001 - $5,000,000: 0.65% $5,000,001 - $10,000,000: 0.60% $10,000,001+: 0.30%
Account minimum: $100,000 (may be waived at firm's discretion)
Main office
Coto De Caza CA
Advisors at this office
2
Most active in
California · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Morgan S
Series 63, Series 65
Coto De Caza, CA
Morgan Stevens Asset Management, LLC
Morgan Stevens is the CEO and sole advisor at Morgan Stevens Asset Management, LLC, an independent registered investment adviser based in Coto De Caza, CA. He holds Series 63 and Series 65 licenses and has 11 years of industry experience. Stevens is also a licensed insurance agent and a registered representative of Northwestern Mutual Investment Services, LLC, offering insurance products and services in addition to his advisory role. He is affiliated as an investment adviser representative with another firm as well. Morgan Stevens Asset Management, LLC provides discretionary portfolio management and customized investment plans for individuals, high-net-worth clients, and business entities. The firm utilizes a diverse range of analytic methods and investment vehicles, including leverage, derivatives, private placements, and venture capital, managing accounts on a discretionary basis with regular portfolio reviews.
Ryan D
Series 65
Coto De Caza, CA
Morgan Stevens Asset Management, LLC
Ryan Dugan is a Series 65-licensed financial advisor with Morgan Stevens Asset Management, LLC, where he has worked since 2023. He has two years of industry experience, including prior roles in mortgage lending and retail. Morgan Stevens Asset Management, LLC is an independent, single-advisor firm that provides discretionary portfolio management and tailored investment plans for individuals, high-net-worth clients, and corporate entities. The firm employs a diverse investment approach incorporating fundamental, technical, and quantitative analysis, as well as both long- and short-term trading strategies, and includes alternative investments such as private placements and venture capital.
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