PGIM INVESTMENTS LLC
Adviser information for PGIM INVESTMENTS LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 558 |
|---|---|
| Investment Advisory/Research | 96 |
| Registered Broker-Dealer Representatives | 230 |
| Registered State Investment Advisers | 67 |
| Licensed Agents of an Insurance Company | 144 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 167 | $315.4B |
| Non-Discretionary | 0 | $0 |
| Total | 167 | $315.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 37 | $315.2B |
| Business development companies | 1 | $119.7M |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 6 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
655 BROAD STREETNEWARK
NJ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 973-802-9908, Fax: None
Chief Compliance Officer
ANDREW (DREW) DONOHUE
CHIEF COMPLIANCE OFFICER
655 BROAD STREET
NEWARK
NJ
United States
Tel:
973-802-9908
D***********@*************M
(Full email address available in API data)
Regulatory Contact
CLAUDIA DIGIACOMO
CHIEF LEGAL OFFICER
655 BROAD STREET
NEWARK
NJ
United States
Tel:
973-802-5032
C****************@*************M
(Full email address available in API data)
Industry Affiliates
| AST INVESTMENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| JENNISON ASSOCIATES | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MONTANA CAPITAL PARTNERS AG | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM CUSTOM HARVEST LLC | Other investment adviser, including financial planners |
| PGIM DC SOLUTIONS | Other investment adviser, including financial planners |
| PGIM INVESTMENTS (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM PORTFOLIO ADVISORY | Other investment adviser, including financial planners |
| PGIM PRIVATE PLACEMENT INVESTORS, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM QUANTITATIVE SOLUTIONS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM REAL ESTATE (UK) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM REAL ESTATE ADVISORS LLC | Other investment adviser, including financial planners |
| PGIM WADHWANI LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| PRUCO LIFE INSURANCE COMPANY | Insurance company or agency |
| PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY | Insurance company or agency |
| PRUDENTIAL ANNUITIES DISTRIBUTORS, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL FINANCIAL PLANNING SERVICES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PIFM HOLDCO, LLC | Domestic Entity | – | SOLE MEMBER | 06/2000 | > 75% |
| PGIM HOLDING COMPANY LLC | Domestic Entity | PIFM HOLDCO, LLC | PARENT OF SOLE MEMBER | 04/2006 | > 75% |
| PRUDENTIAL FINANCIAL, INC. | Domestic Entity | PGIM HOLDING COMPANY LLC | OWNER | 04/2006 | > 75% |
| AHRENS, BRIAN, KARL | Individual | – | SENIOR VICE PRESIDENT | 10/2007 | < 5% |
| PARKER, STUART, SHERMAN | Individual | – | OFFICER-IN-CHARGE, CHIEF EXECUTIVE OFFICER, & PRESIDENT | 01/2012 | < 5% |
| BENJAMIN, SCOTT, EDWARD | Individual | – | EXECUTIVE VICE PRESIDENT | 09/2009 | < 5% |
| OHARA, BERNARD, GERARD | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 04/2019 | < 5% |
| Digiacomo, Claudia | Individual | – | CHIEF LEGAL OFFICER,EXECUTIVE VICE PRESIDENT, SECRETARY | 07/2020 | < 5% |
| DONOHUE, ANDREW, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| SAUBER, JOEL, ROGER | Individual | – | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 12/2023 | < 5% |