PGIM PORTFOLIO ADVISORY
PGIM PORTFOLIO ADVISORY LLC Legal Name
Adviser information for PGIM PORTFOLIO ADVISORY 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 | Delaware, United States |
Employees
| Total Number of Employees | 31 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $13.4B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $13.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| 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 | <5 | $13.4B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-64609 |
|---|---|
| SEC ERA File Number | 801-64609 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136274 |
| Legal Entity Identifier | None |
Principal Office
655 BROAD ST.10TH FLOOR
NEWARK
NJ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 973-802-3137, Fax: 973-367-8340
Chief Compliance Officer
PATRICIA ELIZABETH FLYNN
PATRICIA ELIZABETH FLYNN
655 BROAD STREET
10TH FLOOR
NEWARK
NJ
United States
Tel:
973-802-3137
Fax:
973-367-8340
T**********@*******M
(Full email address available in API data)
Industry Affiliates
| PGIM CUSTOM HARVEST LLC | Other investment adviser, including financial planners |
| PGIM DC SOLUTIONS | Other investment adviser, including financial planners |
| PGIM INVESTMENTS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM JAPAN CO., LTD. | 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 ADVISORS LLC | Other investment adviser, including financial planners |
| 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 |
| PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL SELECT STRATEGIES LLC | Other investment adviser, including financial planners |
| 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 |
|---|---|---|---|---|---|
| PGIM PORTFOLIO ADVISORY LLC | Domestic Entity | – | SOLE MEMBER | 06/2005 | > 75% |
| PRUDENTIAL FINANCIAL, INC. | Domestic Entity | PGIM HOLDING COMPANY LLC | OWNER | 04/2006 | > 75% |
| Cheng, li | Individual | – | DIRECTOR, VICE PRESIDENT, FINANCE AND CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |
| WALDECK, GEORGE, PHILIP | Individual | – | DIRECTOR, SENIOR VICE PRESIDENT, AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 09/2021 | < 5% |
| FLYNN, PATRICIA, ELIZABETH | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| PGIM HOLDING COMPANY LLC | Domestic Entity | PGIM PORTFOLIO ADVISORY LLC | PARENT OF SOLE MEMBER | 06/2022 | > 75% |
| Lerman, Alfred | Individual | – | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER AND DIRECTOR | 09/2021 | < 5% |
| SILLS, KAREN, MARIE | Individual | – | VICE PRESIDENT AND CHIEF LEGAL OFFICER | 04/2022 | < 5% |
| ROACH, JASON, MICHAEL | Individual | – | VICE PRESIDENT AND CHIEF OPERATING OFFICER | 11/2022 | < 5% |