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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

EASTSPRING US

EASTSPRING INVESTMENTS INCORPORATED, CRD 169439

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a032e5cd-13af-ac44-e092-3053673deaa8

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 16
On other graphs: 0
Observed: Dec 2, 2013 to Aug 10, 2026
37 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=4.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-08-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-78906
CRD: 169439
Filings on the tape: 37
First filed: Dec 2, 2013
Latest filed: Aug 10, 2026
Organised: Corporation, DE
Website: eastspringinvestments.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
APPELSTEIN, MATTHEW, J	DIRECTOR, CHIEF EXECUTIVE OFFICER	Na	yes	06/2020	Jun 30, 2020	Nov 26, 2024
EASTSPRING INVESTMENTS GROUP PTE. LTD.	SOLE SHAREHOLDER	E	yes	03/2021	Mar 31, 2021	Nov 26, 2024
EASTSPRING INVESTMENTS GROUP PTE. LTD. (SINGAPORE)	SOLE SHAREHOLDER	E	yes	03/2021	Mar 31, 2021	Nov 26, 2024
HAIDER, SALMAN	Director	Na	yes	06/2024	Jun 6, 2024	Nov 26, 2024
PRUDENTIAL CORPORATION ASIA LIMITED	SOLE SHAREHOLDER	E	yes	09/2013	Dec 2, 2013	Nov 26, 2024
PRUDENTIAL CORPORATION HOLDINGS LIMITED	SOLE SHAREHOLDER	E	yes	05/2005	Dec 2, 2013	Nov 26, 2024
PRUDENTIAL HOLDINGS LIMITED	SOLE SHAREHOLDER	E	yes	08/2004	Dec 2, 2013	Nov 26, 2024
PRUDENTIAL PLC	SOLE SHAREHOLDER	E	yes	07/2011	Dec 2, 2013	Nov 26, 2024
MUCKLEY, DAVID, ANDREW	CCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE	Na	no	01/2024	Feb 9, 2024	Nov 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
EASTSPRING INVESTMENTS (SINGAPORE) LIMITED	n/a	Asset manager	$146B	Y	no	n/a
EASTSPRING INVESTMENTS (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026	$49.7M	$23.8M	7	4	0	n/a	n/a
2024	Mar 19, 2025	$197M	$176M	7	4	0	n/a	n/a
2023	Mar 21, 2024	n/a	n/a	7	3	0	n/a	n/a
2022	Mar 31, 2023	n/a	n/a	6	0	0	n/a	n/a
2021	Mar 31, 2022	n/a	n/a	6	0	0	n/a	n/a
2020	Apr 30, 2021	n/a	n/a	4	0	0	n/a	n/a
2019	Mar 30, 2020	n/a	n/a	3	0	0	n/a	n/a
2018	Mar 22, 2019	n/a	n/a	4	0	0	n/a	n/a
2017	Mar 23, 2018	n/a	n/a	3	1	0	n/a	n/a
2016	Mar 24, 2017	$0	$0	3	1	n/a	n/a	n/a
2015	Mar 22, 2016	$0	$0	3	1	n/a	n/a	n/a
2014	Mar 26, 2015	$0	$0	5	3	n/a	n/a	n/a
2013	Mar 26, 2014	$0	$0	5	3	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$197M	-100.0%	n/a	n/a	6	7	0	0

Relationships

Affiliated with (2)

→ EASTSPRING INVESTMENTS (SINGAPORE) LIMITEDRegistered adviserother investment adviser, bank, control
factForm ADV
← EASTSPRING INVESTMENTS (SINGAPORE) LIMITEDRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV

Controls (6)

← APPELSTEIN, MATTHEW, JOwnerDIRECTOR, CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jun 30, 2020 to Nov 26, 2024factForm ADV
← HAIDER, SALMANOwnerDIRECTOR, ownership code NA, individual
Jun 6, 2024 to Nov 26, 2024factForm ADV
← EASTSPRING INVESTMENTS GROUP PTE. LTD.OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 31, 2021 to Nov 26, 2024factForm ADV
← PRUDENTIAL CORPORATION ASIA LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Dec 2, 2013 to Nov 26, 2024factForm ADV
← PRUDENTIAL CORPORATION HOLDINGS LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Dec 2, 2013 to Nov 26, 2024factForm ADV
← PRUDENTIAL PLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Dec 2, 2013 to Nov 26, 2024factForm ADV

Owns (1)

← MUCKLEY, DAVID, ANDREWOwnerCCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE, ownership code NA, individual
Feb 9, 2024 to Nov 26, 2024factForm ADV

Dated events

Occurred
Oct 10, 2025
Regulatory AUM changed
Eastspring Us reported RAUM $50.0M, down 75% from $197.0M (2025-06-09 to 2025-10-10)
Form ADVobserved 4 days ago
$-147M
Occurred
Jun 6, 2024
Control person left
Manuel George Ferraz (Chairman) no longer on Schedule A of Eastspring Us (listed 2024-03-21, absent 2024-06-06)
Form ADVobserved 4 days ago
Occurred
Jun 6, 2024
Control person joined
Salman Haider (Director) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
Sep 22, 2023
Control person left
William Brian Meikel (Chief Compliance Officer) no longer on Schedule A of Eastspring Us (listed 2023-03-31, absent 2023-09-22)
Form ADVobserved 4 days ago
Occurred
Jun 30, 2022
Control person joined
Manuel George Ferraz (Chairman) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
May 19, 2022
Control person left
Bernard Maurice Xavier Meyer (Director And Chairman) no longer on Schedule A of Eastspring Us (listed 2022-03-31, absent 2022-05-19)
Form ADVobserved 4 days ago
Occurred
Aug 16, 2021
Control person left
Baxter Simon Pearson (Director) no longer on Schedule A of Eastspring Us (listed 2021-04-30, absent 2021-08-16)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Control person joined
Baxter Simon Pearson (Director) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Control person left
Bernard Mark Mandich (Director) no longer on Schedule A of Eastspring Us (listed 2020-06-30, absent 2021-03-31)
Form ADVobserved 4 days ago
Occurred
Jun 30, 2020
Control person left
Willis Jeffrey Smith (Chief Executive Office And President, Director) no longer on Schedule A of Eastspring Us (listed 2020-03-30, absent 2020-06-30)
Form ADVobserved 4 days ago
Occurred
Jun 30, 2020
Control person joined
J Matthew Appelstein (Director, Chief Executive Officer) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
Oct 3, 2019
Control person left
Ming He Jaymz Goh (Chief Compliance Officer) no longer on Schedule A of Eastspring Us (listed 2019-04-11, absent 2019-10-03)
Form ADVobserved 4 days ago
Occurred
Oct 3, 2019
Control person joined
William Brian Meikel (Chief Compliance Officer) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
Apr 11, 2019
Control person left
Richard Kevin Gustafson (Director Of Legal And Compliance; Secretary; Chief Compliance Officer) no longer on Schedule A of Eastspring Us (listed 2019-03-22, absent 2019-04-11)
Form ADVobserved 4 days ago
Occurred
Apr 11, 2019
Control person joined
Ming He Jaymz Goh (Chief Compliance Officer) appeared on Schedule A of Eastspring Us
Form ADVobserved 4 days ago
Occurred
Dec 2, 2013
First Form ADV filing
Eastspring Us filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a032e5cd-13af-ac44-e092-3053673deaa8
First observed: Dec 2, 2013
Last observed: Aug 10, 2026 40 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

EASTSPRING US

EASTSPRING INVESTMENTS INCORPORATED, CRD 169439

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a032e5cd-13af-ac44-e092-3053673deaa8

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

APPELSTEIN, MATTHEW, J

DIRECTOR, CHIEF EXECUTIVE OFFICER

yes

06/2020

Jun 30, 2020

Nov 26, 2024

EASTSPRING INVESTMENTS GROUP PTE. LTD.

SOLE SHAREHOLDER

yes

03/2021

Mar 31, 2021

Nov 26, 2024

EASTSPRING INVESTMENTS GROUP PTE. LTD. (SINGAPORE)

SOLE SHAREHOLDER

yes

03/2021

Mar 31, 2021

Nov 26, 2024

HAIDER, SALMAN

Director

yes

06/2024

Jun 6, 2024

Nov 26, 2024

PRUDENTIAL CORPORATION ASIA LIMITED

SOLE SHAREHOLDER

yes

09/2013

Dec 2, 2013

Nov 26, 2024

PRUDENTIAL CORPORATION HOLDINGS LIMITED

SOLE SHAREHOLDER

yes

05/2005

Dec 2, 2013

Nov 26, 2024

PRUDENTIAL HOLDINGS LIMITED

SOLE SHAREHOLDER

yes

08/2004

Dec 2, 2013

Nov 26, 2024

PRUDENTIAL PLC

SOLE SHAREHOLDER

yes

07/2011

Dec 2, 2013

Nov 26, 2024

MUCKLEY, DAVID, ANDREW

CCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE

01/2024

Feb 9, 2024

Nov 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EASTSPRING INVESTMENTS (SINGAPORE) LIMITED

n/a

Asset manager

$146B

n/a

EASTSPRING INVESTMENTS (LUXEMBOURG) S.A.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$49.7M

$23.8M

n/a

2024

Mar 19, 2025

$197M

$176M

n/a

2023

Mar 21, 2024

n/a

2022

Mar 31, 2023

n/a

2021

Mar 31, 2022

n/a

2020

Apr 30, 2021

n/a

2019

Mar 30, 2020

n/a

2018

Mar 22, 2019

n/a

2017

Mar 23, 2018

n/a

2016

Mar 24, 2017

n/a

2015

Mar 22, 2016

n/a

2014

Mar 26, 2015

n/a

2013

Mar 26, 2014

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$197M

-100.0%

n/a