PGIM LIMITED
Adviser information for PGIM LIMITED last updated from Form ADV on March 29th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 336 |
|---|---|
| Investment Advisory/Research | 150 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 257 | $64.4B |
| Non-Discretionary | 0 | $0 |
| Total | 257 | $64.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | 9 | $3.8B |
| Investment companies | 28 | $2.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 90 | $23.6B |
| Pension and profit sharing plans | 67 | $12.5B |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 13 | $1.1B |
| Other investment advisers | <5 | $661.9M |
| Insurance companies | 14 | $1.6B |
| Sovereign wealth funds and foreign official institutions | 26 | $17.8B |
| Corporations or other businesses | <5 | $896.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 77 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMPerformance-based feesCOST BASIS FOR CERTAIN AFFILIATED PARTIES |
Identifiers
| SEC RIA File Number | 801-73882 |
|---|---|
| SEC ERA File Number | 801-73882 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160005 |
| Legal Entity Identifier | 5493008LE8WY2FYVB96 |
Principal Office
GRAND BUILDINGS, 1-3 STRANDTRAFALGAR SQUARE
LONDON
United Kingdom
Monday - Friday, 9.00 A.M. - 5.30 P.M.
Tel: +44 (0) 207 766 2400, Fax: +44 (0) 207 766 2401
Websites
www.pgim.com
www.pgimfunds.com
www.linkedin.com/company/pgim
twitter.com/pgim
www.youtube.com/pgim
www.linkedin.com/company/pgim-fixed-income
pgimfixedincome.blog/
podcasts.apple.com/us/podcasts/all-the-credit/id1495717352
www.pgimfixedincome.com
www.drydenclo.com
open.spotify.com/show/0f4mgmaxmzedzoqm4p5axd
www3.prudential.com/cdo/index.shtml
www.audible.com/pd/all-the-credit-podcast/b08jjnvfwz
podcasts.apple.com/us/podcast/fixed-on-esg/id1619526745
open.spotify.com/show/0r7yxn2uxxc8r8qrtsszli
www.audible.com/pd/fixed-on-esg-podcast/b09wpmt7c2
Chief Compliance Officer
ANDREW CRAIN
VICE PRESIDENT
GRAND BUILDINGS
1-3 THE STRAND
LONDON
United Kingdom
Tel:
(+44) 020 7766 2467
A***********@*******M
(Full email address available in API data)
Regulatory Contact
JAMES BRONK
MR
GRAND BUILDINGS
1-3 THE STRAND
LONDON
United Kingdom
Tel:
(+44) 020 7766 2550
J**********@*******M
(Full email address available in API data)
Industry Affiliates
| ASIA PROPERTY FUND III GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| AST INVESTMENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| EIP GP S.A R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| EUROCORE GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| EUROPEAN VALUE PARTNERS GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| EVP II GP S.�.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FICG-PG-I FUND GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GERMAN RETAIL INCOME GP LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| 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 |
| PEREF II GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM (AUSTRALIA) PTY LIMITED | Other investment adviser, including financial planners |
| PGIM (HONG KONG) LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PGIM (SCOTS) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM (SINGAPORE) PTE LIMITED | Other investment adviser, including financial planners |
| PGIM AVP IV GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM BROAD MARKET HIGH YIELD BOND PARTNERS, LLC | Other investment adviser, including financial planners |
| PGIM FIXED INCOME ALTERNATIVES GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM FIXED INCOME ALTERNATIVES II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PGIM FIXED INCOME SPECIAL OPPORTUNITIES FUND I GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM FOREIGN INVESTMENTS, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM INVESTMENTS (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM INVESTMENTS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM JAPAN COMPANY LIMITED | Other investment adviser, including financial planners |
| PGIM LOAN ORIGINATOR MANAGER LIMITED | Other investment adviser, including financial planners |
| PGIM LUXEMBOURG S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM MANAGEMENT PARTNER LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM NETHERLANDS BV | Other investment adviser, including financial planners |
| PGIM PORTFOLIO ADVISORY | Other investment adviser, including financial planners |
| PGIM PRIVATE CAPITAL (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM PRIVATE CAPITAL LIMITED | Other investment adviser, including financial planners |
| 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 CAPITAL VII GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| PGIM REAL ESTATE FRANCE SAS | Other investment adviser, including financial planners |
| PGIM REAL ESTATE GERMANY AG | Other investment adviser, including financial planners |
| PGIM U.S. LEVERAGED LOANS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 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 |
| PRAMERICA FIXED INCOME FUNDS MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA PRECAP II GP LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA PRECAP III GP LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA PRECAP IV GP LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA PRECAP VI GP (SCOTS FEEDER) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA PRECAP VI GP LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA REAL ESTATE CAPITAL IV GP (SCOTS FEEDER) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRAMERICA REAL ESTATE CAPITAL IV GP LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRICOA MANAGEMENT PARTNER LIMITED | Other investment adviser, including financial planners |
| PRU FIXED INCOME EMERGING MARKETS PARTNERS I, LLC | Other investment adviser, including financial planners |
| PRUCO LIFE INSURANCE COMPANY | Insurance company or agency |
| PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY | Insurance company or agency |
| PRUDENTIAL FIXED INCOME GLOBAL LIQUIDITY RELATIVE VALUE PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRUDENTIAL FIXED INCOME U.S. RELATIVE VALUE PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL LEGACY INSURANCE COMPANY OF NEW JERSEY | Insurance company or agency |
| PRUDENTIAL TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| STERLING PRIVATE PLACEMENT MANAGEMENT LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| STRAND INVESTMENTS LIMITED | Insurance company or agency |
| THE GIBRALTAR LIFE INSURANCE CO. LTD | Insurance company or agency |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Insurance company or agency |
| UNITED STATES PROPERTY FUND VI GP S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WINDSOR AVENUE HOLDINGS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WINDSOR AVENUE PARTNERS (IRELAND) II, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| WINDSOR AVENUE PARTNERS (US) II, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DRYDEN 103 EURO CLO 2021 DAC | Securitized Asset Fund | $435.2M | $0.1M | 0 |
| DRYDEN 27-R EURO CLO 2017 DAC | Securitized Asset Fund | $496.6M | $0.1M | 0 |
| DRYDEN 29 EURO CLO 2013 DAC | Securitized Asset Fund | $404.7M | $0.1M | 0 |
| DRYDEN 32 EURO CLO 2014 DAC | Securitized Asset Fund | $402.4M | $0.1M | 0 |
| DRYDEN 35 EURO CLO 2014 DAC | Securitized Asset Fund | $455.9M | $0.1M | 0 |
| DRYDEN 39 EURO CLO 2015 DAC | Securitized Asset Fund | $539.5M | $0.1M | 0 |
| DRYDEN 44 EURO CLO 2015 DAC | Securitized Asset Fund | $427.4M | $0.1M | 0 |
| DRYDEN 46 EURO CLO 2016 DAC | Securitized Asset Fund | $483.7M | $0.1M | 0 |
| DRYDEN 48 EURO CLO 2016 DAC | Securitized Asset Fund | $426.5M | $0.1M | 0 |
| DRYDEN 51 EURO CLO 2017 DAC | Securitized Asset Fund | $352.8M | $0.1M | 0 |
| DRYDEN 52 EURO CLO 2017 DAC | Securitized Asset Fund | $422.4M | $0.1M | 0 |
| DRYDEN 56 EURO CLO 2017 DAC | Securitized Asset Fund | $585.8M | $0.1M | 0 |
| DRYDEN 59 EURO CLO 2017 DAC | Securitized Asset Fund | $489.5M | $0.1M | 0 |
| DRYDEN 62 EURO CLO 2017 DAC | Securitized Asset Fund | $474.1M | $0.1M | 0 |
| DRYDEN 66 EURO CLO 2018 DAC | Securitized Asset Fund | $428.1M | $0.1M | 0 |
| DRYDEN 69 EURO CLO 2018 DAC | Securitized Asset Fund | $429.7M | $0.1M | 0 |
| DRYDEN 73 EURO CLO 2018 DAC | Securitized Asset Fund | $428.3M | $0.1M | 0 |
| DRYDEN 74 EURO CLO 2020 DAC | Securitized Asset Fund | $435.6M | $0.1M | 0 |
| DRYDEN 79 EURO CLO 2020 DAC | Securitized Asset Fund | $537.6M | $0.1M | 0 |
| DRYDEN 88 EURO CLO 2020 DAC | Securitized Asset Fund | $430.3M | $0.1M | 0 |
| DRYDEN 89 EURO CLO 2020 DAC | Securitized Asset Fund | $478.9M | $0.1M | 0 |
| DRYDEN 91 EURO CLO 2021 DAC | Securitized Asset Fund | $542.6M | $0.1M | 0 |
| DRYDEN 96 EURO CLO 2021 DAC | Securitized Asset Fund | $429.8M | $0.1M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BUTLER, JONATHAN, PAUL | Individual | – | MANAGING DIRECTOR, DIRECTOR | 01/2011 | < 5% |
| PGIM FINANCIAL LIMITED | Foreign Entity | – | SHAREHOLDER | 07/1999 | > 75% |
| PGIM, INC. | Domestic Entity | PGIM FINANCIAL LIMITED | SHAREHOLDER | 09/2000 | > 75% |
| PGIM HOLDING COMPANY LLC | Domestic Entity | PGIM, INC. | SHAREHOLDER | 06/2000 | > 75% |
| PRUDENTIAL FINANCIAL, INC. | Domestic Entity | PGIM HOLDING COMPANY LLC | SHAREHOLDER | 12/2001 | > 75% |
| SAMSON, ELIZABETH, ANN | Individual | – | VICE PRESIDENT, DIRECTOR | 11/2016 | < 5% |
| FRESSON, MARK, GERALD | Individual | – | VICE PRESIDENT, DIRECTOR | 04/2018 | < 5% |
| CRAIN, ANDREW, BALLANTYNE | Individual | – | VICE PRESIDENT, EMEA CHIEF COMPLIANCE OFFICER | 10/2017 | < 5% |
| Farley, Edward, McMurdo | Individual | – | MANAGING DIRECTOR AND HEAD OF EUROPEAN INVESTMENT GRADE | 10/2019 | < 5% |
| MCMULLEN, SARAH, ELIZABETH | Individual | – | PRINCIPAL AND HEAD OF EMEA CLIENT ADVISORY | 10/2019 | < 5% |
| DAWREEAWOO, BATOOLAH | Individual | – | CHIEF LEGAL OFFICER | 10/2019 | < 5% |
| WARREN, STEPHEN, ROBERT | Individual | – | MANAGING DIRECTOR | 09/2021 | < 5% |
| FINNERTY, JENNIFER, MARIE | Individual | – | RISK MANAGER | 12/2021 | < 5% |
| MALOOLY, DANIEL, JAMES | Individual | – | MANAGING DIRECTOR | 10/2021 | < 5% |
| POLLARD, SUSAN, LEE | Individual | – | HUMAN RESOURCES DIRECTOR | 12/2021 | < 5% |
| NICHOLLS, DARREN, EDWARD | Individual | – | RISK MANAGER, DIRECTOR | 11/2022 | < 5% |
| VATAJ, VASEL | Individual | – | FINANCE DIRECTOR (NON-EXECUTIVE) | 01/2024 | < 5% |