Asset manager · Newark, NJ
Pgim Investments LLC
SEC-registered investment adviser · CRD 105670 · SEC 801-31104
At a glance
Pgim Investments LLC is an SEC-registered investment adviser based in Newark, New Jersey, with $344.8 billion in regulatory assets under management as of its Form ADV filed May 22, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 48th of 3,218 asset managers and 73rd of 17,210 SEC-registered advisers by assets.
Main office 800-225-1852pgim.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $345B
- Rank among asset managers
- #48 of 3,218
- Rank among all SEC RIAs
- #73 of 17,210
- Rank in New Jersey
- #6 of 392
- Clients
- 44
- Accounts
- 197
- Discretionary
- 100% of AUM
- Employees
- 458
- Advisory staff
- 97
- Offices
- 1
Owners and executives on its Form ADV
- Brian K. AhrensManaging Director
- Stuart S. ParkerChief Executive Officer
- Joel R. SauberChief Operating Officer
- Scott E. BenjaminManaging Director
- Bernard G. OharaChief Financial Officer
- Claudia DigiacomoChief Legal Officer
- Patricia E. FlynnChief Compliance Officer
Custody and brokerage
Custodian
Pgim Investments LLC’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
Pgim Investments LLC is a hybrid RIA: 201 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 March 2026) names Prudential Investment Management Services as the broker-dealer its advisers are registered with.
Certain of our management persons and other employees are registered representatives of PIMS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 37 | $344B | 100% |
| Business development companies | 1 | $394M | <1% |
| Other | 6 | $0M | 0% |
Disciplinary disclosures
Pgim Investments LLC answers yes to 4 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
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗pgim.com ↗
AtlasMembers
The full record on Pgim Investments 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, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 102 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
- 4Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pgim Investments LLC manage?
Pgim Investments LLC reports $344.8 billion in regulatory assets under management across 197 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 22, 2026.
What kind of firm is Pgim Investments LLC?
Pgim Investments LLC 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 Pgim Investments LLC’s clients?
By assets, its largest client types are investment companies ($344.4 billion, 37 clients); business development companies ($394 million, 1 clients); other ($0, 6 clients).
Does Pgim Investments LLC have any disciplinary history?
Pgim Investments LLC answers yes to 4 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 Pgim Investments 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 (2026-05-22), 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 →