{"url":"https://nivawealth.com/firms/pgim-investments-105670","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105670","regulatoryAum":344842705228,"crd":"105670","secFileNumber":"801-31104","legalName":"Pgim Investments LLC","displayName":"Pgim Investments","website":"https://www.pgim.com","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"655 Broad Street","city":"Newark","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07102"},"tradeNames":[],"registration":{"secApproved":"31 December 1987","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":458,"advisory":97,"brokerDealerReps":201,"insuranceAgents":142,"promoters":0},"aum":{"discretionary":344842705228,"discretionaryAccounts":197,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":8},"clientTypes":[{"label":"Investment companies","clients":37,"regulatoryAum":344448872838},{"label":"Business development companies","clients":1,"regulatoryAum":393832390},{"label":"Other","clients":6,"regulatoryAum":0}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Pgim Investments does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stuart Parker","title":"Chief Executive Officer","crd":"1767335"},{"name":"Bernard Ohara","title":"Chief Financial Officer","crd":"1528427"},{"name":"Joel Sauber","title":"Chief Operating Officer","crd":"3035443"},{"name":"Patricia Flynn","title":"Chief Compliance Officer","crd":"5067089"},{"name":"Brian Ahrens","title":"Managing Director","crd":"1972969"},{"name":"Scott Benjamin","title":"Managing Director","crd":"4385999"},{"name":"Claudia Digiacomo","title":"Chief Legal Officer","crd":"7347674"}],"ownership":[{"label":"Pifm Holdco, LLC","detail":"Sole member in the 75% or more ownership band and a control person, since June 2000."},{"label":"Pgim Holding Company LLC","detail":"Indirect owner: a parent of sole member of Pifm Holdco, LLC in the 75% or more band and a control person, since April 2006.","parent":"Pifm Holdco, LLC"},{"label":"Prudential Financial, Inc.","detail":"Indirect owner: a owner of Pgim Holding Company LLC in the 75% or more band and a control person, since April 2006.","parent":"Pgim Holding Company LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"655 Broad Street","city":"Newark","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"18002251852","stateRegisteredReps":71,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"22 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105670/PDF/105670.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Pgim Investments have?","answer":"Pgim Investments has 44 clients and manages $344.8 billion for them, as of May 2026. They include 37 investment companies, 6 other clients and 1 business development companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Pgim Investments offer?","answer":"Pgim Investments provides portfolio management for investment companies, portfolio management for institutions, selecting other managers and educational seminars.","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 Pgim Investments have?","answer":"Pgim Investments has 71 investment adviser representatives registered with state securities authorities, out of 458 employees, and 97 perform investment advisory functions. 201 are registered representatives of a broker-dealer and 142 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 Pgim Investments?","answer":"Pgim Investments is owned through a chain of holding companies by Prudential Financial, Inc. Its direct owner is Pifm Holdco, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pgim Investments get paid?","answer":"Pgim Investments is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions 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."}