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.
Latest filing Apr 28, 2026
First filing on the tape Mar 30, 2012 · 70 filings
SEC status approved since Dec 7, 1984
RAUM
$1132B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.1%
$870M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$226B
derived; firm RAUM over IAPD count
Employees
1,990
1,350 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
171
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$1132B as of Apr 28, 2026
Mar 30, 2012$432B then
HNW client RAUM$870M as of Apr 28, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 28, 20130 then
Employees (5.A)1,990 as of Apr 28, 2026
Mar 28, 20131,076 then
Private funds171 as of Apr 28, 2026
Mar 30, 201290 then
RAUM +9.5% over the last fiscal year+4.8% a year over threeIARs 0 to 0offices 15 to 16
Practice profile
derived from the filing of Apr 28, 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)
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $226BderivedRAUM 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
- $1.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 398.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $103B, 73 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$383B34%
- Pooled investment vehicles$274B24%
- Investment companies$215B19%
- Pension and profit-sharing plans$122B11%
- Sovereign wealth funds$58B5.2%
- Banks and thrifts$27B2.4%
- State and municipal entities$27B2.4%
- Corporations and businesses$11B1.0%
- Other investment advisers$5.1B0.5%
- High-net-worth individuals$870M0.1%
- Charitable organizations$648M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 111reported
- Charitable clients
- n/areported
- Accounts
- 938reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103B for 73 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.44 institutional_share=0.52 related_bd=true related_bank=true bd_reps=145.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert M Pacicco | Newark, Nj | Aug 30, 2024 | 18 y | 4 |
| Bradford AngleChartered Financial Analyst | Newark, Nj | Nov 4, 2024 | 15 y | 0 |
| James Craig Schachtel | North Caldwell, Nj | Oct 21, 2025 | 30 y | 1 |
| Yining Shen | Harrison, Nj | May 21, 2026 | 10 y | 2 |
| Kevin Paul O'Rourke | Newark, Nj | Jun 10, 2026 | 28 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Steven Daniel Raab to Bny Mellon Securities CorporationNov 7, 2007 · Other
- Katie Gitlin Ward to Pgim Investments LLCDec 17, 2004 · Other
- Ivan Joshua Weiner to Pgim Investments LLCDec 17, 2004 · Other
- Linda Ann Marschke to Pgim Investments LLCJul 12, 2004 · Other
Joined, latest
- Kevin Paul O'Rourke from Pgim Quantitative SolutionsJun 10, 2026 · Other
- Yining Shen from Pgim Investments LLCMay 21, 2026 · Other
- James Craig Schachtel from Lazard Asset Management LLCOct 21, 2025 · Other
Private funds
200 reported on Schedule D 7.B.(1)
All funds of Pgim, Inc.
Owners and control persons
Schedule A and B, latest filing
- Raimondo Amabile · Co-Chief Executive Officer & Global Chief Investment Officer, Pgim Real Estatecontrolsince 10/2023 · owns less than 5%
- Bernard Eric Collinet-Adler · President And Chief Executive Officer, Pgim Private Alternativescontrolsince 10/2023 · owns less than 5%
- Robert Mathew Douglass · Director And Senior Managing Director, Pgim Private Capitalcontrolsince 01/2024 · owns less than 5%
- Martin John Ewing · Chief Compliance Officer And Chief Legal Officercontrolsince 01/2024 · owns less than 5%
- Alexander David Hunt · Chairman, Director, President & Ceo Pgimcontrolsince 11/2011 · owns less than 5%
- Taimur Hyat · Chief Operating Officer, Vice Presidentcontrolsince 01/2019 · owns less than 5%
- Catherine Marcus · Co-Chief Executive Officer And Global Chief Operating Officer, Pgim Real Estatecontrolsince 10/2023 · owns less than 5%
- Jurgen Muhlhauser · Director, Vice President And Chief Financial Officercontrolsince 12/2013 · owns less than 5%
- Este Zoltan John Vibert · Director And Senior Managing Director, Pgim Fixed Incomecontrolsince 01/2024 · owns less than 5%
Entity owners
- Pgim Holding Company LLC · Shareholderdirect · owns 75% or more
- Prudential Financial, Inc. · Shareholderindirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
Related persons
Schedule D 7.A
- Aref Gp Limitedinvestment adviserpooled vehicle sponsory
- Ast Investment Services, Inc.investment adviserbanknRAUM $91B
- Capital Agricultural Property Services, Inc.investment adviserinvestment companypooled vehicle sponsory
- Crockett Street Holdings II, LLCpooled vehicle sponsory
- Crockett Street Partners (Sba) II, L.P.pooled vehicle sponsory
- Crockett Street Partners II, L.P.pooled vehicle sponsory
- Deerpath Capital Au Pty Ltdpooled vehicle sponsory
- Deerpath Capital General Partner, LLCpooled vehicle sponsory
- Deerpath Capital Genpar IV, LLCpooled vehicle sponsory
- Deerpath Capital Genpar V, LLCpooled vehicle sponsory
- Deerpath Capital Genpar Vi, LLCpooled vehicle sponsory
- Deerpath Capital Genpar Vii, LLCpooled vehicle sponsory
- Deerpath Capital Gp S.A.R.L.pooled vehicle sponsory
- Deerpath Capital II General Partner, LLCpooled vehicle sponsory
- Deerpath Capital Management, LPinvestment adviserpooled vehicle sponsoryRAUM $9.0B
- Deerpath Capital Uk Llppooled vehicle sponsory
- Deerpath Fund Services, LLCpooled vehicle sponsory
- Deerpath Funding Advantage IV General Partner, LLCpooled vehicle sponsory
- Deerpath Funding General Partner V, LLCpooled vehicle sponsory
- Deerpath Korea, Ltd.pooled vehicle sponsory
- Dickens Avenue Holdings Vi, LLCpooled vehicle sponsory
- Dickens Avenue Partners Vi (Ireland), LPinvestment adviserpooled vehicle sponsory
- Dickens Avenue Partners Vi (US), LPinvestment adviserpooled vehicle sponsory
- Ficg-Pg-I Fund Gp, LLCinvestment adviserpooled vehicle sponsory
- Ivp Fund Gp LLCinvestment adviserpooled vehicle sponsory
- Jennison Associatesinvestment adviserbankpooled vehicle sponsoryRAUM $215B
- Montana Capital Partners Aginvestment adviserpooled vehicle sponsory
- Pgim (Australia) Pty Ltd.investment adviserpooled vehicle sponsory
- Pgim (Hong Kong) Ltd.broker-dealerinvestment adviserpooled vehicle sponsory
- Pgim (Shanghai) Company Ltd.investment adviserpooled vehicle sponsory
Advisers that list Pgim, Inc. 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 | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX148 employees
- Chicago, IL102 employees
- San Francisco, CA64 employees
- Atlanta, GA53 employees
- Arlington, VA43 employees
- Dallas, TX39 employees
- Los Angeles, CA33 employees
- New York, NY29 employees
- New York, NY29 employees
- Lisle, IL14 employees
- Miami, FL8 employees
- Orlando, FL8 employees
- Minneapolis, MN5 employees
- Boston, MA5 employees
- Thousand Oaks, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Apr 28, 2026employees per registered advisor of 398.0 against a peer median of 8.3 (32 comparable advisers, 100.0th percentile, 43.5 robust deviations)peers: other advisers, $20B and over (32) · 100% percentile
- very high RAUM per advisorStatic outlier · filing Apr 28, 2026RAUM per registered advisor of $226,327,721,065 against a peer median of $3,708,117,963 (36 comparable advisers, 100.0th percentile, 56.8 robust deviations)peers: other advisers, $20B and over (36) · 100% percentile
What changed
consecutive filings, newest first
- Private funds · 170 to 171Mar 27, 2026 to Apr 28, 2026
- Accounts · 927 to 938Feb 4, 2026 to Mar 27, 2026
- Advisory employees · 1,440 to 1,350Feb 4, 2026 to Mar 27, 2026
- BD registered reps · 92 to 145Feb 4, 2026 to Mar 27, 2026
- Charity clients · 0.0 to unsetFeb 4, 2026 to Mar 27, 2026
- Corporate clients · 12 to 11Feb 4, 2026 to Mar 27, 2026
- HNW clients · 1.0 to unsetFeb 4, 2026 to Mar 27, 2026
- Individual clients · 0.0 to unsetFeb 4, 2026 to Mar 27, 2026
- Pension plan clients · 116 to 111Feb 4, 2026 to Mar 27, 2026
- Pooled vehicle clients · 253 to 255Feb 4, 2026 to Mar 27, 2026
- Assets in custody · $114B to $103BFeb 4, 2026 to Mar 27, 2026
- Employees · 1,750 to 1,990Feb 4, 2026 to Mar 27, 2026
- Other offices · 15 to 16Feb 4, 2026 to Mar 27, 2026
- Private funds · 163 to 170Feb 4, 2026 to Mar 27, 2026
- Discretionary RAUM · $1029B to $1126BFeb 4, 2026 to Mar 27, 2026
- HNW RAUM · $790M to $870MFeb 4, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $4.3B to $6.1BFeb 4, 2026 to Mar 27, 2026
- Pension RAUM · $116B to $122BFeb 4, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $253B to $274BFeb 4, 2026 to Mar 27, 2026
- RAUM · $1033B to $1132BFeb 4, 2026 to Mar 27, 2026
- Private funds · 162 to 163Aug 28, 2025 to Feb 4, 2026
- Private funds · 160 to 162Apr 1, 2025 to Aug 28, 2025
- Accounts · 1,021 to 927Dec 13, 2024 to Apr 1, 2025
- Advisory employees · 1,420 to 1,440Dec 13, 2024 to Apr 1, 2025
- BD registered reps · 91 to 92Dec 13, 2024 to Apr 1, 2025
- Corporate clients · 9 to 12Dec 13, 2024 to Apr 1, 2025
- HNW clients · 0 to 1Dec 13, 2024 to Apr 1, 2025
- Pension plan clients · 112 to 116Dec 13, 2024 to Apr 1, 2025
- Pooled vehicle clients · 240 to 253Dec 13, 2024 to Apr 1, 2025
- Assets in custody · $104B to $114BDec 13, 2024 to Apr 1, 2025
- Employees · 1,705 to 1,750Dec 13, 2024 to Apr 1, 2025
- Financial planning clients · unset to Dec 13, 2024 to Apr 1, 2025
- Private funds · 143 to 160Dec 13, 2024 to Apr 1, 2025
- Discretionary RAUM · $1010B to $1029BDec 13, 2024 to Apr 1, 2025
- HNW RAUM · $0 to $790MDec 13, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $4.3B to $4.3BDec 13, 2024 to Apr 1, 2025
- Pension RAUM · $92B to $116BDec 13, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $235B to $253BDec 13, 2024 to Apr 1, 2025
- RAUM · $1015B to $1033BDec 13, 2024 to Apr 1, 2025
- Private funds · 138 to 143Mar 29, 2024 to Dec 13, 2024
Signals
16 dated events
- Arthur Allen Weaver (Director, Senior Managing Director & Vice President) no longer on Schedule A of Pgim, Inc. (listed 2023-12-22, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Keith Michael Lillard (Director, Senior Managing Director, Senior Vice President) no longer on Schedule A of Pgim, Inc. (listed 2023-12-22, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Alan Chad Earnst (Vice President And Chief Compliance Officer, Pgim) no longer on Schedule A of Pgim, Inc. (listed 2023-12-22, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Baker Maureen Fialcowitz (Vice President And Chief Legal Officer, Pgim) no longer on Schedule A of Pgim, Inc. (listed 2023-12-22, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Este Zoltan John Vibert (Director And Senior Managing Director) appeared on Schedule A of Pgim, Inc.Jan 29, 2024 · Control person joined · fact
- Martin John Ewing (Chief Compliance Officer And Chief Legal Officer) appeared on Schedule A of Pgim, Inc.Jan 29, 2024 · Control person joined · fact
- Catherine Marcus (Co-Chief Executive Officer And Global Chief Operating Officer, Pgim Real Estate) appeared on Schedule A of Pgim, Inc.Oct 18, 2023 · Control person joined · fact
- Raimondo Amabile (Co-Chief Executive Officer & Global Chief Investment Officer, Pgim Real Estate) appeared on Schedule A of Pgim, Inc.Oct 18, 2023 · Control person joined · fact
- Robert Mathew Douglass (Senior Managing Director, Vice President) appeared on Schedule A of Pgim, Inc.Mar 30, 2023 · Control person joined · fact
- Malcolm David Durning (Senior Managing Director, President And Ceo Pgim Real Estate Finance, Chairman Global Debt Real Estate Businesses For Pgim & Vp) no longer on Schedule A of Pgim, Inc. (listed 2021-02-23, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Baker Maureen Fialcowitz (Vice President And Chief Legal Officer, Pgim) appeared on Schedule A of Pgim, Inc.Mar 30, 2020 · Control person joined · fact
- S Wiley Adams (Chief Legal Officer, Vice President) no longer on Schedule A of Pgim, Inc. (listed 2020-02-25, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Lynn Betsy Friedman (Vice President, Operations) no longer on Schedule A of Pgim, Inc. (listed 2019-01-03, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Martin John Ewing (Chief Legal Officer, Secretary, Vice President) no longer on Schedule A of Pgim, Inc. (listed 2019-01-03, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- S Wiley Adams (Chief Legal Officer, Vice President) appeared on Schedule A of Pgim, Inc.Mar 28, 2019 · Control person joined · fact
- Taimur Hyat (Chief Operating Officer, Vice President) appeared on Schedule A of Pgim, Inc.Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Pgim, Inc. · Independent Sponsorsshared crd · capital_provider
- Pgim, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pgim-japanreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/pgimirelandreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pgim.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-367-6335reportedpublic record, Form ADV, Apr 28, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $226Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Pgim, Inc. 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.
Checking your plan…