Pgim Investments LLC

Registered investment adviser · Newark, NJ · CRD #105670

Form ADV data as of 2026-09-01

Regulatory assets

$344.84 billion

Total accounts

197

Employees

458

Disclosure events

Firm details

Website: https://www.prudential.com
Telephone: 1-800-225-1852
SEC file number: 801-31104
Most recent Form ADV filing: 2026-05-22
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$344.84 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$344.84 billion
Discretionary accounts	197
Non-discretionary accounts	0
Total accounts	197
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	458
Employees performing investment advisory functions (including research)	97
Employees who are registered representatives of a broker-dealer	201
Employees registered as investment adviser representatives with a state	71
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	142
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorTrust companyInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
Investment companies	37	$344.45 billion
Business development companies	1	$393.8 million
Other	6	$0