Frank Lyon Polk

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Morgan Stanley Smith Barney
  New York, NY
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Other Businesses

1. PWM GROUP LLC; PRIMARILY A HOLDING CORP FOR LIFE AND DISABILITY INSURANCE BEING PURCHASED BY MSSB AFFILIATED FAS ON EACH OTHER AND FOR EACH OTHER.; 08/2011 MEMBER 0 HOURS DURING 0 HOURS OUTSIDE *326374 - Waycrosse Investment Advisory Committee; Investment related: No; Wayzata, Minnesota; Family Office; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 08/2017; During business hours: 1; After business hours: 4; investment advisory board 3. *382395 - Cold Spring Harbor labs; Investment related- No; Charity / Private Foundation; Board member(proprietor, partner, officer, director, employee, trustee, agent); Nov 2019; 4. *310644 - The Boys Club of New York City; Investment related - No; New York, New York; Non-Profit; Board Member, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 08/2020; During business hours: 0; After business hours: 5; Investment Decisions/Advice 5. *420304 - Xavier University; Investment related - No; New Orleans, Louisiana; Other, Non-Profit; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 0; After business hours: 5; 6. *462838 - Robertson research fund Inc; Investment related - Yes; Cold Spring Harbor, New York; Non-Profit; Board Member, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 11/2021; During business hours: 0; After business hours: 1; Investment Decisions/Advice *485202- Power of Attorney; Investment related -Yes; Locust Valley, New York; 02/2022; During business hours: 0; After business hours: 3;

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-10-14
• S63 Uniform Securities Agent State Law Examination
  1987-06-03

Other Names

• Lyon Polk
• Frank Lyon
• Frank Lyon Polk