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Est. 2026The front page of wealth managementNew York

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Asset manager · Shelton, CT

AST Investment Services, Inc.

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

Regulatory AUM
$91B
Rank among asset managers
#144 of 3,218
Rank among all SEC RIAs
#286 of 17,210
Rank in Connecticut
#9 of 507
Clients
1
Accounts
19
Discretionary
100% of AUM
Employees
42
Advisory staff
9
Offices
2

Owners and executives on its Form ADV

Custody and brokerage

Custodian

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.

Broker-dealer

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.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Investment companies1$91B100%

Disciplinary disclosures

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 ↗

Services

  • Portfolio management for investment companies
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on AST Investment Services, Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
Locked
Rank against 228 peers of its type and size
Locked
Owners and executives, with titles and stakes
7 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
6Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does AST Investment Services, Inc. manage?

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.

What kind of firm is AST Investment Services, Inc.?

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.

Who are AST Investment Services, Inc.’s clients?

By assets, its largest client types are investment companies ($91.5 billion, 1 clients).

Does AST Investment Services, Inc. have any disciplinary history?

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.

Where these numbers come from

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 →