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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeAsset manager · Shelton, CT
SEC-registered investment adviser · CRD 108897 · SEC 801-40532
At a glance
AST Investment Services, Inc. is an SEC-registered investment adviser based in Shelton, Connecticut, with $91.5 billion in regulatory assets under management as of its Form ADV filed September 25, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 144th of 3,218 asset managers and 286th of 17,210 SEC-registered advisers by assets.
Main office 800-225-1852LinkedInAs filed on Form ADV
AST Investment Services, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Hybrid RIA
AST Investment Services, Inc. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Pruco Securities, LLC, Prudential Annuities Distributors, Inc and Prudential Investment Management Services LLC.
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $91B | 100% |
AST Investment Services, Inc. answers yes to 28 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
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AST Investment Services, Inc. reports $91.5 billion in regulatory assets under management across 19 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
AST Investment Services, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
By assets, its largest client types are investment companies ($91.5 billion, 1 clients).
AST Investment Services, Inc. answers yes to 28 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Every figure is AST Investment Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →