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.
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SEC-registered adviser
A•• I••••••••• S•••••••• I•••
Latest filing May 22, 2026
First filing on the tape Mar 20, 2012 · 34 filings
SEC status approved since Jan 10, 1992
RAUM
$91B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$91B as of May 22, 2026
Mar 20, 2012$102B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 22, 2026
Mar 20, 20120 then
Employees (5.A)42 as of May 22, 2026
Mar 27, 20130 then
Private funds: no history
RAUM -2.2% over the last fiscal year-9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $4.8BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$91B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••• A•••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 13, 2020 · Other
- B•••• E•••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 13, 2020 · Other
- F•••• J••• R••••• to L•••••• I•••••••••Nov 11, 2020 · Other
- E••• J•••• R•••••• to C•••••• S••••• • C••• I•••Nov 6, 2020 · Other
- R••••• J••• C••••• to V••••• I••••••••• A•••••••• L••Nov 4, 2020 · Other
- B•••••• J•••• W••• to R•••••• W••••• M••••••••• L••Nov 4, 2020 · Other
- A•••••••• M•••••• L••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 2, 2020 · Other
- R•••• C••••••• to B••••••••• C•••••• M••••••••• L••Nov 25, 2019 · Other
- J••••• S•••••• to M••••• T•••• A•••• M••••• I•••Nov 21, 2019 · Other
- C••••••••• R••••• S••••••• to V••••••• A•••••••• I•••Feb 25, 2019 · Other
- T•••• T••• to P••• A••••• S••••••••• L••Jan 24, 2019 · Other
- T••• M•••• D•••••• to R•••••• I•••••••••Jul 31, 2018 · Other
- E•••• M•••• F•••••• to S••••••• P•••••••Apr 2, 2018 · Other
- R•••••• B•••• W••• to O•••• I••••••••• I•••Jan 5, 2018 · Other
- M•••••• W•••••• A•••• to M•••• F•••••••• P••••••• L••Jul 3, 2017 · Other
Joined, latest
- C••••••••• R••••• S••••••• from A••••• A•• P••••••• S•••••••Aug 21, 2018 · Other
- J••• A•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2018 · Other
- A•••••••• M•••••• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 8, 2018 · Other
- T••• M•••• D•••••• from M••••• S••••••Aug 24, 2016 · Other
- J••••• S•••••• from P••••••••• A••••••• S••••••• L••Dec 16, 2015 · Other
- F•••• J••• R••••• from C••••••• S••••••••• I•••Sep 30, 2015 · Other
- T•••• T••• from A••••• G••••••• I•••Jun 18, 2015 · Other
- B••• N••••••• M•••••••• from P•••• A•••••••• I•••Apr 1, 2015 · Other
- N••••• C•••••••• W••••••• from E••••• J••••Dec 8, 2014 · Other
- E•••••••• S••••• R••• from P•• C•••••• A••••••• L••Oct 1, 2014 · Other
- A••• P•••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 11, 2012 · Other
- S••••• J•••••• G•••• from L•• F•••••••• L••Jun 7, 2012 · Other
- R••••• T••••• M••••• from T••••••••• A••••••• I••Feb 2, 2012 · Other
- R•••• C••••••• from C•••• I••••••••• S••••••• C••••Nov 30, 2011 · Other
- M•••••• R••••• B•••• from N••••••••• S••••••••• L••Sep 7, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W•••• F•••• A•••••••May 11, 2016 · Shelton, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S••••• E••••• · Executive Vice Presidentcontrolsince 09/2009 · owns less than 5%
- C•••••• T••••••• S••• · President, Ceo, Coo, Officer In Charge, And Directorcontrolsince 05/2005 · owns less than 5%
- D••••••••• C•••••• · Vice President, Corporate Counsel And Secretary (Functions As Chief Legal Officer)controlsince 07/2020 · owns less than 5%
- D••••••• A•••••• J••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- K•••••• R•••••• R••••• · Controllercontrolsince 01/2024 · owns less than 5%
- P••••••••• F•••• · Treasurercontrolsince 12/2023 · owns less than 5%
Entity owners
- T•• P••••••••• I•••••••• C•••••• O• A•••••• · Direct Parent Of A•• I••••••••• S•••••••• I•••direct · owns 75% or more
- P••••••••• F••••••••• I••• · Shareholderindirect · owns 75% or more of T•• P••••••••• I•••••••• C•••••• O• A•••••• · public reporting company
Related persons
Schedule D 7.A
- J••••••• A•••••••••investment adviserbankpooled vehicle sponsornRAUM $215B
- P••• I••••••••• L••investment adviserbanknRAUM $345B
- P••• L••••••investment adviserpooled vehicle sponsornRAUM $76B
- P••• Q••••••••• S••••••••investment adviserbanknRAUM $111B
- P•••• I•••investment adviserbankpooled vehicle sponsornRAUM $1132B
- P•••• L••• I•••••••• C••••••real estaten
- P•••• L••• I•••••••• C•••••• O• N•• J•••••real estaten
- P•••• S••••••••• L••broker-dealerinvestment advisern
- P••••••••• A•••••••• D••••••••• I••broker-dealern
- P••••••••• I••••••••• M••••••••• S••••••• L••broker-dealern
- T•• P••••••••• I•••••••• C•••••• O• A••••••investment adviserreal estateyRAUM $251M
Advisers that list A•• I••••••••• S•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Newark, NJ3 employees
What changed
consecutive filings, newest first
- Accounts · 27 to 19Jan 7, 2026 to Mar 25, 2026
- Advisory employees · 12 to 9Jan 7, 2026 to Mar 25, 2026
- BD registered reps · 9 to 4Jan 7, 2026 to Mar 25, 2026
- Employees · 52 to 42Jan 7, 2026 to Mar 25, 2026
- Discretionary RAUM · $94B to $91BJan 7, 2026 to Mar 25, 2026
- RAUM · $94B to $91BJan 7, 2026 to Mar 25, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 7, 2025
- Accounts · 32 to 27Jun 20, 2024 to Mar 26, 2025
- Advisory employees · 14 to 12Jun 20, 2024 to Mar 26, 2025
- BD registered reps · 6 to 9Jun 20, 2024 to Mar 26, 2025
- Employees · 53 to 52Jun 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $106B to $94BJun 20, 2024 to Mar 26, 2025
- RAUM · $106B to $94BJun 20, 2024 to Mar 26, 2025
- Accounts · 40 to 32Mar 27, 2023 to Mar 26, 2024
- Advisory employees · 13 to 14Mar 27, 2023 to Mar 26, 2024
- BD registered reps · 11 to 6Mar 27, 2023 to Mar 26, 2024
- Employees · 63 to 53Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $122B to $106BMar 27, 2023 to Mar 26, 2024
- RAUM · $122B to $106BMar 27, 2023 to Mar 26, 2024
- Accounts · 52 to 40Oct 7, 2022 to Mar 27, 2023
- Advisory employees · 16 to 13Oct 7, 2022 to Mar 27, 2023
- BD registered reps · 12 to 11Oct 7, 2022 to Mar 27, 2023
- Charity clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Corporate clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- HNW clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Individual clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Pension plan clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Pooled vehicle clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Employees · 58 to 63Oct 7, 2022 to Mar 27, 2023
- Discretionary RAUM · $160B to $122BOct 7, 2022 to Mar 27, 2023
- RAUM · $160B to $122BOct 7, 2022 to Mar 27, 2023
- Accounts · 57 to 52Mar 24, 2021 to Mar 22, 2022
- Advisory employees · 15 to 16Mar 24, 2021 to Mar 22, 2022
- BD registered reps · 13 to 12Mar 24, 2021 to Mar 22, 2022
- Employees · 56 to 58Mar 24, 2021 to Mar 22, 2022
- Discretionary RAUM · $159B to $160BMar 24, 2021 to Mar 22, 2022
- RAUM · $159B to $160BMar 24, 2021 to Mar 22, 2022
- Accounts · 63 to 57Mar 25, 2020 to Mar 24, 2021
- BD registered reps · 18 to 13Mar 25, 2020 to Mar 24, 2021
- Employees · 67 to 56Mar 25, 2020 to Mar 24, 2021
Signals
16 dated events
- Frank Papasavas (Treasurer) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Mar 26, 2024 · Control person joined · fact
- R••••• R••••• K••••• (Controller) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Mar 26, 2024 · Control person joined · fact
- Kevin Chaillet (Treasurer) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2023-03-27, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- L••••• A••••• S•••• (Controller) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2023-03-27, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Isabelle Sajous (Chief Compliance Officer) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2022-04-28, absent 2022-10-07)Oct 7, 2022 · Control person left · inference
- John A••••• Donohue (Chief Compliance Officer) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Oct 7, 2022 · Control person joined · fact
- Armando (Dino) Capasso (Chief Compliance Officer) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2022-03-22, absent 2022-04-28)Apr 28, 2022 · Control person left · inference
- Isabelle Sajous (Chief Compliance Officer) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Apr 28, 2022 · Control person joined · fact
- L••••• A••••• S•••• (Controller) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Mar 24, 2021 · Control person joined · fact
- C•••••• D•••••••• (Vice President, Corporate Counsel And Secretary (Functions As Chief Legal Officer)) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Mar 24, 2021 · Control person joined · fact
- Anthony Raymond O'Hara (Iii) (Vice President, Corporate Counsel And Secretary (Functions As Chief Legal Officer)) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2020-03-25, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- John Christian Kelly (Treasurer And Vice President) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2020-03-25, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- John Christian Kelly (Treasurer And Vice President) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Mar 25, 2020 · Control person joined · fact
- M•••• Elizabeth Marin (Treasurer And Vice President) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2019-09-30, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
- Armando (Dino) Capasso (Chief Compliance Officer) appeared on Schedule A of A•• I••••••••• S•••••••• I•••Jul 15, 2019 · Control person joined · fact
- Alan Chad Earnst (Chief Compliance Officer) no longer on Schedule A of A•• I••••••••• S•••••••• I••• (listed 2019-03-28, absent 2019-07-15)Jul 15, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/prudential-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- prudential.com/personal/annuitiesreportedpublic record, Form ADV, Sep 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026