Wealth manager, public-company owned · Newark, NJ
Pgim Custom Harvest LLC
SEC-registered investment adviser · CRD 290235 · SEC 801-114622
At a glance
Pgim Custom Harvest LLC is an SEC-registered investment adviser based in Newark, New Jersey, with $6.9 billion in regulatory assets under management as of its Form ADV filed July 17, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 8,531 individual clients. By Form ADV it is a wealth manager (public-company owned), ranked 246th of 8,915 wealth managers and 1,713th of 17,210 SEC-registered advisers by assets.
Main office 800-210-0118pgim.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $6.9B
- Rank among wealth managers
- #246 of 8,915
- Rank among all SEC RIAs
- #1,713 of 17,210
- Rank in New Jersey
- #33 of 392
- Individual clients
- 8,531
- High-net-worth clients
- 8,531
- Accounts
- 8,702
- Discretionary
- 100% of AUM
- Employees
- 68
- Advisory staff
- 9
- Offices
- 1
Owners and executives on its Form ADV
- Joel R. SauberManaging Director
- Stuart S. ParkerChief Executive Officer
- Claudia DigiacomoChief Legal Officer
- Bernard G. OharaChief Financial Officer
- Lisa M. HanesChief Operating Officer
- Dawn PallittoChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Pgim Custom Harvest LLC is a hybrid RIA: 11 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.
- Pruco Securities, LLC ↗CRD 5685
- Prudential Annuities Distributors, Inc ↗CRD 21570
- Prudential Investment Management Services LLC ↗CRD 18353
Its Form ADV brochure (filed April 2026) names Prudential Investment Management Services as the broker-dealer its advisers are registered with.
IES AND AFFILIATIONS Our Broker-Dealer Affiliations Certain of our management persons and other employees are registered representatives of Prudential Investment Management Services LLC (“PIMS”), an affiliated SEC-registered broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 8,531 | $6.7B | 97% |
| Corporations or other businesses | 171 | $209M | 3% |
Disciplinary disclosures
Pgim Custom Harvest LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗pgim.com ↗
AtlasMembers
The full record on Pgim Custom Harvest LLC
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, 8 years of filings
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- Growth over one, three and five years
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- Rank against 597 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pgim Custom Harvest LLC manage?
Pgim Custom Harvest LLC reports $6.9 billion in regulatory assets under management across 8,702 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 17, 2026.
What kind of firm is Pgim Custom Harvest LLC?
Pgim Custom Harvest LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals. A public reporting company controls it.
Who are Pgim Custom Harvest LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($6.7 billion, 8,531 clients); corporations or other businesses ($209 million, 171 clients).
Does Pgim Custom Harvest LLC have any disciplinary history?
Pgim Custom Harvest LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Pgim Custom Harvest LLC’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 (2026-07-17), 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 →