MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
NEW YORK, NY · CIK 728612 · 13F filing filed 2026-08-14
SEC-registered investment adviser since 1978 · corporation
- Assets managed$1.8tn
- Staff32,960 · 25,721 in investment roles
- Main clients (by assets)High net worth individuals 69%, Individuals 18%, Companies 7%
- Form ADV · 2026-09-24SEC adviser record
- Legal entityMERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (US)
- Part of BANK OF AMERICA CORPORATION (US)
Other 13F filers in this group: BANK OF AMERICA CORP /DE/ $1.6tn, Rock Creek Group LLC $993.7m, BOFA SECURITIES, INC. files a notice, BofA Securities Europe SA files a notice, MANAGED ACCOUNT ADVISORS LLC files a notice, MERRILL LYNCH CANADA INC. files a notice, MERRILL LYNCH INTERNATIONAL files a notice, Banc of America Strategic Ventures, Inc. last filed Q3 2022
For Q2 2026 this manager filed a 13F notice: its holdings were reported by another manager.
Trades reported as a company insider since 1 Apr 2026
Owning 10% or more of a company, or having someone on its board, makes this manager an insider there: it reports its trades in that company's shares on Form 4 within two business days. Open-market and private purchases and sales only.
| Date | Company | Trade | Value |
|---|---|---|---|
| 2026-08-18 | PIMCO MUN INCOME FD II 10% owner · See Footnotes | Bought | $745100 shares |
| 2026-08-18 | PIMCO MUN INCOME FD II 10% owner · See Footnotes | Sold | $736100 shares |
| 2026-08-04 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Sold | $313 shares |
| 2026-08-04 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Bought | $313 shares |
| 2026-08-03 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Bought | $36836 shares |
| 2026-08-03 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Sold | $31831 shares |
| 2026-07-31 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Sold | $525 shares |
| 2026-07-24 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Bought | $929 shares |
| 2026-07-24 | NUVEEN MUN HIGH INCOME OPPOR 10% owner · See Footnotes | Sold | $929 shares |
| 2026-07-17 | PUTNAM MANAGED MUN INCOME TR 10% owner · See Footnotes | Bought | $2.9k437 shares |
| 2026-07-16 | PUTNAM MANAGED MUN INCOME TR 10% owner · See Footnotes | Sold | $2.9k437 shares |
| 2026-05-20 | NEUBERGER BERMAN MUN FD INC 10% owner · See Footnotes | Bought | $32.8k3.2k shares |
| 2026-05-20 | NEUBERGER BERMAN MUN FD INC 10% owner · See Footnotes | Sold | $32.4k3.2k shares |
| 2026-05-20 | PIMCO MUN INCOME FD II 10% owner · See Footnotes | Bought | $5.0k680 shares |
| 2026-05-20 | PIMCO MUN INCOME FD II 10% owner · See Footnotes | Sold | $5.0k680 shares |
| 2026-05-19 | NUVEEN NEW YORK QLT MUN INC 10% owner · See Footnotes | Sold | $34.1k3.0k shares |
| 2026-05-19 | NUVEEN NEW YORK QLT MUN INC 10% owner · See Footnotes | Bought | $33.8k3.0k shares |
| 2026-05-19 | NUVEEN MUN CR OPPORTUNITIES 10% owner · See Footnotes | Sold | $10.5k1.0k shares |
| 2026-05-18 | NUVEEN MUN CR OPPORTUNITIES 10% owner · See Footnotes | Bought | $10.6k1.0k shares |
| 2026-04-02 | INVESCO ADVANTAGE MUN INCOME 10% owner · See Footnotes | Sold | $29.2k3.4k shares |
| 2026-04-02 | INVESCO ADVANTAGE MUN INCOME 10% owner · See Footnotes | Bought | $29.2k3.4k shares |