DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Pgim Investments LLC
Latest filing May 22, 2026
First filing on the tape Mar 19, 2012 · 35 filings
SEC status approved since Dec 31, 1987
RAUM
$345B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
73
registered through the firm on IAPD
RAUM per advisor
$4.7B
derived; firm RAUM over IAPD count
Employees
458
97 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$345B as of May 22, 2026
Mar 19, 2012$178B then
HNW client RAUM: no history
State-registered IARs (5.B.3)71 as of May 22, 2026
Mar 19, 20120 then
Employees (5.A)458 as of May 22, 2026
Mar 28, 2013409 then
Private funds: no history
RAUM +7.1% over the last fiscal year+3.4% a year over threeIARs 68 to 71
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $4.7BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.8BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.3derivedItem 5.A over advisors
- Advisors per office
- 73.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$344B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 197reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=201.0derived
Advisors registered through the firm
73 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Peter Dilorenzo | Jacksonville, Fl | Apr 9, 2002 | 35 y | 0 |
| Timothy John Tone | Bridgewater, Nj | Aug 26, 2002 | 33 y | 0 |
| John William Fallon | Newark, Nj | Jul 10, 2003 | 32 y | 0 |
| William David Hatton | Newark, Nj | Apr 14, 2004 | 32 y | 1 |
| Ivan Joshua Weiner | Newark, Nj | Oct 8, 2004 | 28 y | 1 |
| Clinton M Barker | Newark, Nj | Dec 9, 2004 | 31 y | 0 |
| Jonathan Raymond Crawford | Franklin, Tn | Jul 10, 2006 | 28 y | 1 |
| Shawn Michael Conroy | East Windsor, Nj | Aug 24, 2006 | 22 y | 0 |
| Joseph Frank Ferraro | Newark, Nj | Apr 17, 2007 | 25 y | 2 |
| Patrick Joseph Mcginty | Cohasset, Ma | May 8, 2008 | 27 y | 1 |
| Sinead Marie Pecyner | Parkland, Fl | Jun 5, 2008 | 26 y | 0 |
| Gregory Anthony Ratto | Alamo, Ca | Sep 12, 2008 | 31 y | 1 |
| Paul William Lee Woodford | Gainesville, Va | Jan 12, 2010 | 29 y | 2 |
| Philip Michael Scioli | Rye, Ny | Jan 21, 2010 | 25 y | 2 |
| Anthony Wisner Miller | Cohasset, Ma | Jul 1, 2010 | 30 y | 2 |
| Harry T Rakovski | New City, Ny | Aug 19, 2010 | 19 y | 2 |
| Robert James Fetzner | Ashuburn, Va | Jul 5, 2011 | 23 y | 2 |
| Joseph Louis Thomas | San Marcos, Ca | Sep 20, 2011 | 28 y | 2 |
| Nelson Pennington Scott | St. Petersburg, Fl | Dec 14, 2011 | 16 y | 1 |
| Eric John Studer | Newtown, Pa | Dec 14, 2011 | 33 y | 3 |
| Jonathan Thomas Koss | Shaker Heights, Oh | Jan 10, 2012 | 20 y | 3 |
| Joseph Felice | Newark, Nj | Oct 17, 2013 | 14 y | 2 |
| Anthony Michael Bernard | Newark, Nj | Mar 12, 2015 | 13 y | 1 |
| Robert Michael Angelo | Scottsdale, Az | Apr 10, 2015 | 22 y | 2 |
| James Robert Rensman | Westchester, Pa | May 12, 2015 | 22 y | 3 |
| Danielle Small | Newark, Nj | Oct 27, 2015 | 12 y | 1 |
| Joseph Anthony Grande | Newark, Nj | Oct 27, 2015 | 12 y | 1 |
| Steven Justin Cohen | Newark, Nj | Apr 13, 2016 | 19 y | 1 |
| Brendan Michael Gill | Milton, Ma | Nov 9, 2016 | 32 y | 3 |
| Erik Ronn Kidd | Carlsbad, Ca | Dec 15, 2016 | 24 y | 5 |
| Raymond W Butti | Guilford, Ct | Feb 16, 2018 | 26 y | 2 |
| Peter Finer | Newark, Nj | Apr 2, 2018 | 12 y | 2 |
| James Schlaier | Birmingham, Al | Dec 3, 2018 | 11 y | 1 |
| Connor M O'Neill | Newark, Nj | Dec 20, 2018 | 13 y | 1 |
| Shay V Patten | Newark, Nj | Jul 24, 2019 | 13 y | 1 |
| Daniel L Makarevich | Newark, Nj | Aug 15, 2019 | 12 y | 1 |
| David Brian Angeli | Newark, Nj | Nov 1, 2021 | 16 y | 1 |
| Mark E. Donovan | Atlanta, Ga | Jan 11, 2022 | 14 y | 2 |
| Kyuri WengChartered Financial Analyst | Newark, Nj | Apr 13, 2022 | 23 y | 1 |
| Benjamin Enver Askin | Morristown, Nj | Jun 22, 2022 | 10 y | 2 |
Advisor movement
5 left, 12 joined in 12 months
net +7 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 6.8% of current headcount13 left over 36 months
Left, latest
- John Frank Rosellini to Capital Client Group, Inc.Jun 15, 2026 · Other
- Yining Shen to Pgim, Inc.May 21, 2026 · Other
- Mitchell S. Gilbert to Cohen & Steers Capital Management Inc.Apr 23, 2026 · Other
- Giancarlo Conti to Calamos Advisors LLCFeb 5, 2026 · Other
- Robert Joseph Mrozek to Strategic Advisers LLCDec 2, 2025 · Other
- Kevin J Oconnor to Lord, Abbett & Co. LLCJun 16, 2025 · Other
- Shelby Reeves to Fisher InvestmentsJun 3, 2025 · Other
- Matthew N Ozbalik to Blackrock Investment Management, LLCApr 3, 2025 · Other
- Zachary B Curtis to Blackrock Investment Management, LLCNov 18, 2024 · Other
- Ross Michael Kirwan to LPL Financial LLCSep 5, 2024 · Other
- John Christolini to Empower Advisory Group, LLCApr 1, 2024 · Other
- Joshua Leon to RBC Capital Markets, LLCFeb 13, 2024 · Other
- John Norris Obannon to Akre Capital Management, LLCDec 8, 2023 · Other
- Michael Fragapane to Citigroup Global Markets Inc.Aug 3, 2023 · Other
- Ryan Daniel Lynch to Catalyst Capital Advisors LLCJul 13, 2023 · Other
Joined, latest
- Stephen Bartholomew Luethi from Lord, Abbett & Co. LLCAug 17, 2026 · Other
- Blaise Grippa from Accordant Investments LLCAug 12, 2026 · Other
- Douglas James Mcclelland from Morgan StanleyMay 22, 2026 · Other
- Michael Cangialosi from MML Investors Services, LLCMay 14, 2026 · Other
- Brian Hammill from Equitable Advisors, LLCMay 11, 2026 · Other
- John James Scolaro from Stifel, Nicolaus & Company, IncorporatedMay 6, 2026 · Other
- Yining Shen from UBS Financial Services Inc.May 6, 2026 · Other
- Michael Garay from Fiduciary Pension Partners, LLCApr 21, 2026 · Other
- Benjamin Anthony Menconi from Polen Capital Management, LLCApr 21, 2026 · Other
- Jose Collazo from John Hancock Investment Management LLCMar 9, 2026 · Other
- Laurie Chan from Citigroup Global Markets Inc.Mar 4, 2026 · Other
- Anthony Lawrence Bettano from Bofa Advisors, LLCNov 5, 2025 · Other
- Christopher Sean Kerwin from Columbia Management Investment Advisers, LLCSep 16, 2025 · Other
- Adam Matthew Magsig from Clearbridge Investments, LLCAug 6, 2025 · Other
- Brennan M Henry from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 23, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Karl Brian Ahrens · Senior Vice Presidentcontrolsince 10/2007 · owns less than 5%
- Edward Scott Benjamin · Executive Vice Presidentcontrolsince 09/2009 · owns less than 5%
- Claudia Digiacomo · Chief Legal Officer,Executive Vice President, Secretarycontrolsince 07/2020 · owns less than 5%
- John Andrew Donohue · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- Gerard Bernard Ohara · Executive Vice President And Chief Financial Officercontrolsince 04/2019 · owns less than 5%
- Sherman Stuart Parker · Officer-In-Charge, Chief Executive Officer, & Presidentcontrolsince 01/2012 · owns less than 5%
- Roger Joel Sauber · Chief Operating Officer, Executive Vice Presidentcontrolsince 12/2023 · owns less than 5%
Entity owners
- Pifm Holdco, LLC · Sole Memberdirect · owns 75% or more
- Pgim Holding Company LLC · Parent Of Sole Memberindirect · owns 75% or more of Pifm Holdco, LLC
- Prudential Financial, Inc. · Ownerindirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
Related persons
Schedule D 7.A
- Ast Investment Services, Inc.investment adviserbanknRAUM $91B
- Jennison Associatesinvestment adviserbankpooled vehicle sponsornRAUM $215B
- Montana Capital Partners Aginvestment adviserpooled vehicle sponsorn
- Pgim Custom Harvest LLCinvestment advisernRAUM $6.9B
- Pgim Dc Solutionsinvestment advisernRAUM $6.9B
- Pgim Investments (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Pgim Limitedinvestment adviserpooled vehicle sponsornRAUM $76B
- Pgim Multi-Asset Solutions LLCinvestment advisernRAUM $26B
- Pgim Private Placement Investors, L.P.investment adviserpooled vehicle sponsornRAUM $24B
- Pgim Quantitative Solutionsinvestment adviserbanknRAUM $111B
- Pgim Fund Management Limitedinvestment adviserpooled vehicle sponsornRAUM $1.2B
- Pgim Real Estate Advisors LLCinvestment advisern
- Pgim Wadhwani Llpinvestment adviserbanknRAUM $1.6B
- Pgim, Inc.investment adviserbankpooled vehicle sponsornRAUM $1132B
- Pruco Life Insurance Companyreal estaten
- Pruco Life Insurance Company Of New Jerseyreal estaten
- Pruco Securities, LLCbroker-dealerinvestment advisern
- Prudential Annuities Distributors, Incbroker-dealern
- Prudential Investment Management Services LLCbroker-dealern
- Prudential Trust Companybankn
- The Prudential Insurance Company Of Americainvestment adviserreal estatenRAUM $251M
Advisers that list Pgim Investments LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newark, Nj · principal | 41 | 9 | 4 | ||
| Cohasset, Ma | 2 | 0 | 0 | ||
| Hoboken, Nj | 2 | 2 | 0 | ||
| Hartford, Ct | 0 | 0 | 0 | ||
| Charlotte, Nc | 0 | 0 | 0 | ||
| Warrenton, Va | 0 | 0 | 0 | ||
| Wilmette, Il | 0 | 0 | 1 | ||
| Golden Valley, Mn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 196 to 197Dec 1, 2025 to Mar 27, 2026
- Advisory employees · 92 to 97Dec 1, 2025 to Mar 27, 2026
- BD registered reps · 239 to 201Dec 1, 2025 to Mar 27, 2026
- Employees · 490 to 458Dec 1, 2025 to Mar 27, 2026
- State-registered IARs · 68 to 71Dec 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $322B to $345BDec 1, 2025 to Mar 27, 2026
- RAUM · $322B to $345BDec 1, 2025 to Mar 27, 2026
- Accounts · 167 to 196Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 96 to 92Mar 26, 2024 to Mar 26, 2025
- BD registered reps · 230 to 239Mar 26, 2024 to Mar 26, 2025
- Employees · 558 to 490Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- State-registered IARs · 67 to 68Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $315B to $322BMar 26, 2024 to Mar 26, 2025
- RAUM · $315B to $322BMar 26, 2024 to Mar 26, 2025
- Accounts · 180 to 167Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 105 to 96Mar 28, 2023 to Mar 26, 2024
- Advisory activities · 6 to 4Mar 28, 2023 to Mar 26, 2024
- BD registered reps · 237 to 230Mar 28, 2023 to Mar 26, 2024
- Pooled vehicle clients · 1 to 0Mar 28, 2023 to Mar 26, 2024
- Employees · 509 to 558Mar 28, 2023 to Mar 26, 2024
- State-registered IARs · 76 to 67Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $312B to $315BMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · 11702500.0 to unsetMar 28, 2023 to Mar 26, 2024
- RAUM · $312B to $315BMar 28, 2023 to Mar 26, 2024
- Accounts · 185 to 180Oct 7, 2022 to Mar 28, 2023
- Advisory employees · 102 to 105Oct 7, 2022 to Mar 28, 2023
- BD registered reps · 232 to 237Oct 7, 2022 to Mar 28, 2023
- Charity clients · unset to 0.0Oct 7, 2022 to Mar 28, 2023
- Corporate clients · unset to 0.0Oct 7, 2022 to Mar 28, 2023
- HNW clients · unset to 0.0Oct 7, 2022 to Mar 28, 2023
- Individual clients · unset to 0.0Oct 7, 2022 to Mar 28, 2023
- Pension plan clients · unset to 0.0Oct 7, 2022 to Mar 28, 2023
- Pooled vehicle clients · unset to 1.0Oct 7, 2022 to Mar 28, 2023
- Employees · 514 to 509Oct 7, 2022 to Mar 28, 2023
- State-registered IARs · 73 to 76Oct 7, 2022 to Mar 28, 2023
- Other offices · 1 to 0Oct 7, 2022 to Mar 28, 2023
- Discretionary RAUM · $393B to $312BOct 7, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · unset to 11702500.0Oct 7, 2022 to Mar 28, 2023
- RAUM · $393B to $312BOct 7, 2022 to Mar 28, 2023
Signals
40 dated events
- John Frank Rosellini left Pgim Investments Llc for Capital Client Group, Inc. (registered 2026-07-27)Jun 15, 2026 · Advisor changed firm · fact
- Yining Shen left Pgim Investments Llc for Pgim, Inc. (registered 2026-05-21)May 21, 2026 · Advisor changed firm · fact
- Mitchell S. Gilbert left Pgim Investments Llc for Cohen & Steers Capital Management Inc. (registered 2026-05-07)Apr 23, 2026 · Advisor changed firm · fact
- Giancarlo Conti left Pgim Investments Llc for Calamos Advisors Llc (registered 2024-05-17)Feb 5, 2026 · Advisor changed firm · fact
- Robert Joseph Mrozek left Pgim Investments Llc for Strategic Advisers Llc (registered 2026-02-26)Dec 2, 2025 · Advisor changed firm · fact
- Kevin J Oconnor left Pgim Investments Llc for Lord, Abbett & Co. Llc (registered 2025-06-18)Jun 16, 2025 · Advisor changed firm · fact
- Shelby Reeves left Pgim Investments Llc for Fisher Investments (registered 2025-06-26)Jun 3, 2025 · Advisor changed firm · fact
- Matthew N Ozbalik left Pgim Investments Llc for Blackrock Investment Management, Llc (registered 2025-04-24)Apr 3, 2025 · Advisor changed firm · fact
- Zachary B Curtis left Pgim Investments Llc for Blackrock Investment Management, Llc (registered 2024-12-11)Nov 18, 2024 · Advisor changed firm · fact
- Ross Michael Kirwan left Pgim Investments Llc for Lpl Financial Llc (registered 2024-09-18)Sep 5, 2024 · Advisor changed firm · fact
- John Christolini left Pgim Investments Llc for Empower Advisory Group, Llc (registered 2024-04-03)Apr 1, 2024 · Advisor changed firm · fact
- Roger Joel Sauber (Chief Operating Officer, Executive Vice President) appeared on Schedule A of Pgim Investments LlcMar 26, 2024 · Control person joined · fact
- Joshua Leon left Pgim Investments Llc for Rbc Capital Markets, Llc (registered 2023-12-05)Feb 13, 2024 · Advisor changed firm · fact
- John Norris Obannon left Pgim Investments Llc for Akre Capital Management, Llc (registered 2023-12-07)Dec 8, 2023 · Advisor changed firm · fact
- Michael Fragapane left Pgim Investments Llc for Citigroup Global Markets Inc. (registered 2023-09-20)Aug 3, 2023 · Advisor changed firm · fact
- Ryan Daniel Lynch left Pgim Investments Llc for Catalyst Capital Advisors Llc (registered 2023-08-24)Jul 13, 2023 · Advisor changed firm · fact
- David P Schneider left Pgim Investments Llc for Obsidian Cio Llc (registered 2026-09-01)May 23, 2023 · Advisor changed firm · fact
- Anthony Lanfranchi left Pgim Investments Llc for Thurston Springer Advisors (registered 2024-03-06)Apr 21, 2023 · Advisor changed firm · fact
- Isabelle Sajous (Chief Compliance Officer) no longer on Schedule A of Pgim Investments Llc (listed 2022-04-28, absent 2022-10-07)Oct 7, 2022 · Control person left · inference
- John Andrew Donohue (Chief Compliance Officer) appeared on Schedule A of Pgim Investments LlcOct 7, 2022 · Control person joined · fact
- Stephen Bartholomew Luethi left Pgim Investments Llc for Lord, Abbett & Co. Llc (registered 2022-11-25)Sep 28, 2022 · Advisor changed firm · fact
- Keith Calandra left Pgim Investments Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-10)Sep 21, 2022 · Advisor changed firm · fact
- Jake Patrick Mcmanus left Pgim Investments Llc for Lpl Financial Llc (registered 2022-10-11)Sep 13, 2022 · Advisor changed firm · fact
- Matthew John Adey left Pgim Investments Llc for Morgan Stanley (registered 2022-07-21)Jun 27, 2022 · Advisor changed firm · fact
- Edward Devon Spaulding left Pgim Investments Llc for Kcd Financial, Inc. (registered 2024-04-12)May 16, 2022 · Advisor changed firm · fact
- Christopher Cirri left Pgim Investments Llc for Equitable Advisors, Llc (registered 2022-05-02)May 5, 2022 · Advisor changed firm · fact
- Isabelle Sajous (Chief Compliance Officer) appeared on Schedule A of Pgim Investments LlcApr 28, 2022 · Control person joined · fact
- Armando (Dino) Capasso (Chief Compliance Officer) no longer on Schedule A of Pgim Investments Llc (listed 2022-03-24, absent 2022-04-28)Apr 28, 2022 · Control person left · inference
- Michael Brian Mattia (Treasurer) no longer on Schedule A of Pgim Investments Llc (listed 2022-03-24, absent 2022-04-28)Apr 28, 2022 · Control person left · inference
- Caleb Keith Clark left Pgim Investments Llc for Edward Jones (registered 2022-02-09)Feb 9, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Pgim Investments LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pgimreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pgim.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1-800-225-1852reportedpublic record, Form ADV, May 22, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Pgim Investments LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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