PGIM WADHWANI LLP
Adviser information for PGIM WADHWANI LLP last updated from Form ADV on March 27th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 49 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $39.4M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $1.4B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $32.1M |
| State or municipal gov entities | <5 | $102.4M |
| Other investment advisers | <5 | $20.8M |
| 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 | 0 |
| No. of Non-U.S. Clients | 56 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
9TH FLOOR ORION HOUSE5 UPPER ST MARTIN'S LANE
LONDON
United Kingdom
Monday - Friday, 9AM - 6PM GMT
Tel: 44 (0) 20 7663 3400, Fax: None
Chief Compliance Officer
DAWN PALLITTO
CHIEF COMPLIANCE OFFICER
GATEWAY CENTER TWO
6TH FLOOR,
NEWARK
NJ
United States
Tel:
973-802-3675
D************@*******M
(Full email address available in API data)
Regulatory Contact
ZILLAH RICHARDS
HEAD OF COMPLIANCE, UK
9TH FLOOR, ORION HOUSE
5 UPPER ST. MARTIN'S LANE
LONDON
United Kingdom
Tel:
+44 7866 156334
Z**************@*******M
(Full email address available in API data)
Industry Affiliates
| PGIM (HONG KONG) LTD. FORMELY PRAMERICA ASIA FUND MANAGEMENT LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PGIM DC SOLUTIONS | Other investment adviser, including financial planners |
| PGIM INVESTMENTS (IRELAND) LTD | 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 CO., LTD. FORMERLY PRUDENTIAL INVESTMENT MANAGEMENT JAPAN CO. LTD. | Other investment adviser, including financial planners |
| PGIM LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PGIM NETHERLANDS B.V. | Other investment adviser, including financial planners |
| PGIM QUANTITATIVE SOLUTIONS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM SINGAPORE | 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 |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| COMMODITY & MACRO TAIL RISK MASTER FUND LIMITED | Hedge Fund | $60.1M | $1.0M | 9 |
| PGIM WADHWANI MACRO TAIL RISK MASTER FUND LIMITED | Hedge Fund | $36.5M | $1.0M | 3 |
| THE KEYNES DYNAMIC BETA STRATEGY (OFFSHORE) MASTER FUND LIMITED | Hedge Fund | $281.3M | $1.0M | 15 |
| THE KEYNES LEVERAGED QUANTITATIVE STRATEGIES MASTER FUND LIMITED | Hedge Fund | $733.1M | $1.0M | 25 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DASANI, PRADIP | Individual | – | CFO | 01/2005 | < 5% |
| WADHWANI CAPITAL LIMITED | Foreign Entity | – | PARTNER | 01/2003 | 25-50% |
| Cummins, Ramon, Guy | Individual | – | COO | 10/2017 | < 5% |
| PGIM FINANCIAL LIMITED | Foreign Entity | – | PARTNER | 01/2019 | 50-75% |
| 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% |
| KETLEY, MICHAEL, RICHARD | Individual | – | CAO | 06/2020 | < 5% |
| GIBSON, LINDA, TILTON | Individual | – | CHAIRMAN, PGIM WADHWANI AND CEO, PGIM QUANTITATIVE SOLUTIONS | 01/2022 | < 5% |
| RICHARDS, ZILLAH, LOVEDAY | Individual | – | HEAD OF COMPLIANCE, UK (FCA SMF16/17) | 09/2022 | < 5% |
| PALLITTO, DAWN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| FRESSON, MARK, GERALD | Individual | – | MEMBER OF MANAGEMENT COMMITTEE | 05/2022 | < 5% |
| Dicks, Michael, Jeremy | Individual | – | CHIEF INVESTMENT OFFICER | 01/2024 | < 5% |