{"url":"https://nivawealth.com/firms/pgim-limited-160005","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/160005","regulatoryAum":76451725569,"crd":"160005","secFileNumber":"801-73882","legalName":"Pgim Limited","displayName":"Pgim Limited","website":"https://www.pgim.com","founded":null,"organization":"other (specify) organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"Grand Buildings, 1-3 Strand, Trafalgar Square","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"WC2N 5HR"},"tradeNames":["Pgim Credit","Pgim Fixed Income","Pgim Global Wealth","Pgim Investments International","Pgim Public & Private Fixed Income"],"registration":{"secApproved":"30 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":299,"advisory":146,"brokerDealerReps":6,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":76451725569,"discretionaryAccounts":276,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":69,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":0,"regulatoryAum":870166612},{"label":"Banking or thrift institutions","clients":11,"regulatoryAum":1426310781},{"label":"Investment companies","clients":31,"regulatoryAum":2507203984},{"label":"Pooled investment vehicles","clients":92,"regulatoryAum":21966178684},{"label":"Pension and profit-sharing plans","clients":71,"regulatoryAum":14651067046},{"label":"Charitable organizations","clients":0,"regulatoryAum":3606689},{"label":"State or municipal government entities","clients":13,"regulatoryAum":650912998},{"label":"Other investment advisers","clients":9,"regulatoryAum":1618879338},{"label":"Insurance companies","clients":16,"regulatoryAum":2201559571},{"label":"Sovereign wealth funds and foreign official institutions","clients":26,"regulatoryAum":29231171678},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":1324668188}],"fees":[],"feeNotes":[],"custodians":[{"name":"Northern Trust Corporation","shortName":"Northern Trust","location":"Wilmington, DE","smaAssets":7595206783},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":20381254263},{"name":"Citibank, National Association","shortName":"Citibank, National Association","location":"Sioux Falls, SD","smaAssets":9072988796},{"name":"JP Morgan Chase Holdings LLC","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":5220217470}],"custodyNote":"Pgim Limited has custody of $149.9M for 1 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Donohue","title":"Chief Compliance Officer","crd":"2783317"},{"name":"Brad Blalock","title":"Director","crd":"2973154"},{"name":"Joanna Brown","title":"Finance Director","crd":"8240673"},{"name":"Jonathan Butler","title":"Director","crd":"6016728"},{"name":"Batoolah Dawreeawoo","title":"Chief Legal Officer","crd":"7196909"},{"name":"Edward Farley","title":"Director","crd":"7195322"},{"name":"Jennifer Finnerty","title":"Director","crd":"7529766"},{"name":"Daniel Malooly","title":"Chairman & Director","crd":"7529772"},{"name":"Haishi Ning","title":"Director","crd":"8334098"},{"name":"Susan Pollard","title":"Director","crd":"2522041"},{"name":"Elizabeth Samson","title":"Director","crd":"2243316"},{"name":"Matthew Shafer","title":"Director","crd":"4671453"}],"ownership":[{"label":"Pgim, Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since January 2026."},{"label":"Pgim Holding Company LLC","detail":"Indirect owner: a shareholder of Pgim, Inc. in the 75% or more band and a control person, since June 2000.","parent":"Pgim, Inc."},{"label":"Prudential Financial, Inc.","detail":"Indirect owner: a shareholder of Pgim Holding Company LLC in the 75% or more band and a control person, since December 2001.","parent":"Pgim Holding Company LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"4402077662400","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. government/agency bonds","percent":3},{"label":"Sovereign bonds","percent":29},{"label":"Investment grade corporate bonds","percent":42},{"label":"Non-investment grade corporate bonds","percent":11},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":12,"detail":"Non-Agency Asset Backed Securities, Foreign Sovereign and Supranational Bonds, Receivables and Other Assets Excluding Payables and Other Liabilities, Unfunded Commitments, Loans and Private Placements"}],"privateFunds":24},"sources":{"adv1FilingDate":"25 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/160005/PDF/160005.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 Limited have?","answer":"Pgim Limited has 274 clients and manages $76.5 billion for them, as of August 2026. They include 92 pooled investment vehicles, 71 pension and profit-sharing plans and 31 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Pgim Limited offer?","answer":"Pgim Limited provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, publishing newsletters 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":"Which custodians does Pgim Limited use?","answer":"Pgim Limited’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $20,381,254,263, Citibank, National Association (Sioux Falls, SD), with $9,072,988,796, Northern Trust Corporation (Wilmington, DE), with $7,595,206,783 and JP Morgan Chase Holdings LLC (New York, NY), with $5,220,217,470. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Pgim Limited have?","answer":"Pgim Limited has 0 investment adviser representatives registered with state securities authorities, out of 299 employees, and 146 perform investment advisory functions. 6 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":"What does Pgim Limited invest in?","answer":"At the end of its last fiscal year, Pgim Limited’s separately managed accounts held 42% investment grade corporate bonds, 29% sovereign bonds, 12% non-agency asset backed securities, foreign sovereign and supranational bonds, receivables and other assets excluding payables and other liabilities, unfunded commitments, loans and private placements, 11% high-yield corporate bonds, 3% U.S. government and agency bonds and 3% cash and equivalents. It advises 24 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Pgim Limited?","answer":"Pgim Limited is owned through a chain of holding companies by Prudential Financial, Inc. Its direct owner is Pgim, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pgim Limited get paid?","answer":"Pgim Limited is paid through a percentage of assets under management, performance-based fees and other arrangements. 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."}