EASTSPRING US
EASTSPRING INVESTMENTS INCORPORATED Legal Name
Adviser information for EASTSPRING US last updated from Form ADV on March 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
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 | 1 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesASSET ALLOCATION RECOMMENDATIONS AND MARKETING SUPPORT TO AFFILIATED RIA AND ASSET ALLOCATION RECOMMENDATIONS |
|---|---|
| Compensation | INTER-COMPANY ALLOCATION |
Identifiers
| SEC RIA File Number | 801-78906 |
|---|---|
| SEC ERA File Number | 801-78906 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169439 |
| Legal Entity Identifier | None |
Principal Office
24 E WASHINGTON STSUITE 875
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 312-730-9600, Fax: None
Chief Compliance Officer
DAVID MUCKLEY
HEAD OF COMPLIANCE, LEGAL AND GOVERNANCE
24 E WASHINGTON ST
SUITE 875
CHICAGO
IL
United States
Tel:
312 730 9530
D************@*************M
(Full email address available in API data)
Regulatory Contact
MATTHEW APPELSTEIN
CHIEF EXECUTIVE OFFICER
24 E WASHINGTON ST
SUITE 875
CHICAGO
IL
United States
Tel:
312-730-9540
M*****************@*************M
(Full email address available in API data)
Industry Affiliates
| EASTSPRING INVESTMENTS (LUXEMBOURG) S.A. | Other investment adviser, including financial planners |
| EASTSPRING INVESTMENTS (SINGAPORE) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRUDENTIAL CORPORATION HOLDINGS LIMITED | Foreign Entity | PRUDENTIAL SINGAPORE HOLDINGS PTE LTD | SOLE SHAREHOLDER | 05/2005 | > 75% |
| PRUDENTIAL HOLDINGS LIMITED | Foreign Entity | PRUDENTIAL CORPORATION HOLDINGS LIMITED | SOLE SHAREHOLDER | 08/2004 | > 75% |
| PRUDENTIAL CORPORATION ASIA LIMITED | Foreign Entity | PRUDENTIAL HOLDINGS LIMITED | SOLE SHAREHOLDER | 09/2013 | > 75% |
| PRUDENTIAL PLC | Foreign Entity | PRUDENTIAL CORPORATION ASIA LIMITED | SOLE SHAREHOLDER | 07/2011 | > 75% |
| APPELSTEIN, MATTHEW, J | Individual | – | DIRECTOR, CHIEF EXECUTIVE OFFICER | 06/2020 | < 5% |
| EASTSPRING INVESTMENTS GROUP PTE. LTD. (SINGAPORE) | Foreign Entity | PRUDENTIAL CORPORATION HOLDINGS LIMITED | SOLE SHAREHOLDER | 03/2021 | > 75% |
| EASTSPRING INVESTMENTS GROUP PTE. LTD. | Foreign Entity | – | SOLE SHAREHOLDER | 03/2021 | > 75% |
| FERRAZ, GEORGE, MANUEL | Individual | – | CHAIRMAN | 06/2022 | < 5% |
| MUCKLEY, DAVID, ANDREW | Individual | – | CCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE | 01/2024 | < 5% |