{"url":"https://nivawealth.com/firms/ast-investment-services-108897","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108897","regulatoryAum":91470712627,"crd":"108897","secFileNumber":"801-40532","legalName":"Ast Investment Services, Inc.","displayName":"Ast Investment Services","website":null,"founded":null,"organization":"Connecticut corporation","fiscalYearEnd":"December","headquarters":{"street":"One Corporate Drive","city":"Shelton","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06484"},"tradeNames":[],"registration":{"secApproved":"10 January 1992","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":42,"advisory":9,"brokerDealerReps":4,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":91470712627,"discretionaryAccounts":19,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":91470712627}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Ast Investment Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Benjamin Jessen","title":"Chief Executive Officer","crd":"7513684"},{"name":"Patricia Flynn","title":"Chief Compliance Officer","crd":"5067089"},{"name":"Scott Benjamin","title":"Director, Board of Directors","crd":"4385999"},{"name":"Claudia Digiacomo","title":"Chief Legal Officer","crd":"7347674"},{"name":"Scott Gaul","title":"Director, Board of Directors","crd":"5773507"},{"name":"Robert Kutyla","title":"Controller","crd":"7855513"},{"name":"Frank Papasavas","title":"Treasurer","crd":"4147106"}],"ownership":[{"label":"The Prudential Insurance Company of America","detail":"Direct parent of ast investment services, inc. in the 75% or more ownership band and a control person, since December 2022."},{"label":"Prudential Financial, Inc.","detail":"Indirect owner: a shareholder of The Prudential Insurance Company of America in the 75% or more band and a control person, since March 2015.","parent":"The Prudential Insurance Company of America"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"One Corporate Drive","city":"Shelton","headquarters":true}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"655 Broad Street","city":"Newark"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"18002251852","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"25 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108897/PDF/108897.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ast Investment Services have?","answer":"Ast Investment Services has 1 clients and manages $91.5 billion for them, as of September 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ast Investment Services offer?","answer":"Ast Investment Services provides portfolio management for investment companies and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Ast Investment Services have?","answer":"Ast Investment Services has 0 investment adviser representatives registered with state securities authorities, out of 42 employees, and 9 perform investment advisory functions. 4 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ast Investment Services?","answer":"Ast Investment Services is owned through a holding company by Prudential Financial, Inc. Its direct owner is the Prudential Insurance Company of America (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ast Investment Services get paid?","answer":"Ast Investment Services is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}